SEC Form 4 · accession 0001127602-15-005250
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 3:36 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 6, 2015 | F | 860 | $38.17 | D | 141,285 | I | By Spouse |
| Common StockF2 | Feb 6, 2015 | J | 8,722 | $68.17 | A | 150,007 | I | By Spouse |
| Common StockF2 | Feb 6, 2015 | F | 2,585 | $68.17 | D | 147,422 | I | By Spouse |
| Common StockF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF2,F6,F7 | — | Feb 6, 2015 | J | 8,722 | D | — | — | Common Stock | 8,722 | 45,185 | I |
Explanation of responses
- F1Shares withheld for payment of the tax obligation upon the distribution of 2,904 shares from the Ball Corporation 2000 Deferred Compensation Company Stock Plan.
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Distribution of shares from the Ball Corporation 2005 Deferred Compensation Company Stock Plan due to retirement as an officer of the Company.
- F4Shares withheld for payment of the tax obligation upon the distribution of shares from the Ball Corporation 2005 Deferred Compensation Company Stock Plan.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- 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.