SEC Form 4 · accession 0001127602-15-004881
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert D Strain
Officer — Sr. VP BallCorp & Pres. BATC
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 5:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 4, 2015 | J | 3,000 | D | — | — | Common Stock | 3,000 | 14,400 | D |
| Deferred Compensation Company Stock PlanF3,F5 | — | Feb 4, 2015 | J | 3,302 | A | — | — | Common Stock | 3,302 | 5,990 | D |
| Restricted Stock UnitsF1,F6 | — | Feb 4, 2015 | A | 16,197 | A | — | — | Common Stock | 16,197 | 30,597 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 3,477 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 3,477 | 3,477 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of restricted stock units.
- F3Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F4Lapse of restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F5Stock Units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F6Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
- F7SARs (Stock Appreciation Rights) granted under the Ball Corporation Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant.