SEC Form 4 · accession 0001127602-15-004903
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
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 6:19 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 StockF2 | Feb 4, 2015 | J | 6,700 | $66.15 | A | 144,399 | I | By Spouse |
| Common StockF2 | Feb 4, 2015 | F | 2,254 | $66.15 | D | 142,145 | I | By Spouse |
| Common StockF4 | holding | — | — | — | 2,665 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 36,521 | D |
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 | 5,500 | D | — | — | Common Stock | 5,500 | 12,850 | D |
| Restricted Stock UnitsF2,F5,F7 | — | Feb 4, 2015 | J | 6,700 | D | — | — | Common Stock | 6,700 | 1,450 | I |
| Deferred Compensation Company Stock PlanF8,F9 | — | Feb 4, 2015 | J | 5,802 | A | — | — | Common Stock | 5,802 | 55,669 | D |
| Restricted Stock UnitsF5,F10 | — | Feb 4, 2015 | A | 17,465 | A | — | — | Common Stock | 17,465 | 30,315 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 3,749 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 3,749 | 3,749 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Restricted Stock Units.
- F10Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
- F11SARs (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.
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F6Lapsed restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan as stock units and may include company match.
- F7Lapse of restricted stock units.
- F8Each 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.
- F9Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.