SEC Form 4 · accession 0001127602-15-004913
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
Jeff A Knobel
Officer — Vice President & Treasurer
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 6:28 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 | 1,750 | $66.15 | A | 21,725 | D | |
| Common Stock | Feb 4, 2015 | F | 623 | $66.15 | D | 21,102 | D | |
| Common StockF3 | holding | — | — | — | 1,245 | I | 401K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | Feb 4, 2015 | J | 3,500 | D | — | — | Common Stock | 3,500 | 9,312 | D |
| Deferred Compensation Company Stock PlanF6,F7 | — | Feb 4, 2015 | J | 2,052 | A | — | — | Common Stock | 2,052 | 12,621 | D |
| Restricted Stock UnitsF4,F8 | — | Feb 4, 2015 | A | 6,901 | A | — | — | Common Stock | 6,901 | 16,213 | D |
| Stock Appreciation Rights (sars) | $66.15 | Feb 4, 2015 | A | 1,481 | A | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 1,481 | 1,481 | 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 of 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.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F5Lapse of restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F6Each 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.
- F7Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F8Restricted Stock Units awarded under the Ball Corporation Stock and Cash incentive Plan.
- F9SARS (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.