SEC Form 4 · accession 0001127602-15-004897
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
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O.. · Director
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 6:11 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 | 55,800 | $66.15 | A | 206,036 | D | |
| Common Stock | Feb 4, 2015 | F | 23,953 | $66.15 | D | 182,083 | D | |
| Common StockF3 | holding | — | — | — | 4,439 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 58,200 | I | JAH Irrevocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6 | — | Feb 4, 2015 | J | 55,800 | D | — | — | Common Stock | 55,800 | 93,400 | D |
| Restricted Stock UnitsF5,F7 | — | Feb 4, 2015 | A | 154,930 | A | — | — | Common Stock | 154,930 | 248,330 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 33,258 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 33,258 | 33,258 | 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.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4The reporting person expressly disclaims beneficial ownership of these securities.
- F5Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F6Lapse of restricted stock units.
- F7Restricted Stock 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.