SEC Form 4 · accession 0001127602-15-008205
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Peterson
Officer — VP, Marketing & Corp. Affairs
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 1:47 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 23, 2015 | I | 1,017 | $73.75 | D | 432 | I | 401(k) Plan |
| Common Stock | Feb 24, 2015 | M | 1,000 | $73.09 | A | 15,373 | D | |
| Common Stock | Feb 24, 2015 | S | 1,000 | $73.09 | D | 14,373 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $21.845 | Feb 24, 2015 | M | 1,000 | D | Apr 26, 2007 | Apr 26, 2016 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1Exempt discretionary transaction involving the transfer of units from the Ball stock fund into other funds within reporting person's 401K that are neither valued nor settled in Ball Corporation equity securities.
- F2Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F3Exercise of stock options.