SEC Form 4 · accession 0001127602-15-004891
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
James N Peterson
Officer — VP, Marketing & Corp. Affairs
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 5:44 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 | 3,500 | D | — | — | Common Stock | 3,500 | 9,389 | D |
| Deferred Compensation Company Stock PlanF3,F5 | — | Feb 4, 2015 | J | 3,802 | A | — | — | Common Stock | 3,802 | 21,501 | D |
| Restricted Stock UnitsF1,F6 | — | Feb 4, 2015 | A | 7,324 | A | — | — | Common Stock | 7,324 | 16,713 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 1,572 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 1,572 | 1,572 | 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.
- F4Lapsed 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.