SEC Form 4 · accession 0001127602-15-004888
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
Shawn M Barker
Officer — Vice President & Controller
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 5:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 4, 2015 | J | 1,320 | $66.15 | A | 9,623 | D | |
| Common Stock | Feb 4, 2015 | F | 488 | $66.15 | D | 9,135 | D | |
| Common Stock | holding | — | — | — | 1,002 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Feb 4, 2015 | J | 4,400 | D | — | — | Common Stock | 4,400 | 12,599 | D |
| Deferred Compensation Company Stock PlanF5,F6 | — | Feb 4, 2015 | J | 3,382 | A | — | — | Common Stock | 3,382 | 25,049 | D |
| Restricted Stock UnitsF3,F7 | — | Feb 4, 2015 | A | 9,465 | A | — | — | Common Stock | 9,465 | 22,064 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 2,032 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 2,032 | 2,032 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Restricted Stock Units.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
- F3Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F4Lapse of restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F5Each 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.
- F6Stock Units in the Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F7Restricted Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
- F8SARs (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.