SEC Form 4 · accession 0001127602-15-011610
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
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 3:15 pm EDT
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 | Mar 13, 2015 | J | 1,941 | $69.17 | A | 16,321 | D | |
| Common Stock | Mar 13, 2015 | F | 621 | $69.17 | D | 15,700 | D | |
| Common StockF3 | holding | — | — | — | 450 | I | 401(k) Plan |
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 | — | Mar 13, 2015 | J | 4,570 | D | — | — | Common Stock | 4,570 | 6,391 | D |
| Deferred Compensation Company Stock PlanF6,F8 | — | Mar 13, 2015 | J | 2,629 | A | — | — | Common Stock | 2,629 | 24,264 | D |
| Deferred Compensation Company Stock PlanF6,F8 | — | Mar 16, 2015 | J | 40 | A | — | — | Common Stock | 40 | 24,304 | 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.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F5Lapse of restricted stock units.
- 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.
- F7Lapsed restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F8Stock Units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F9Dividend reinvestment in Ball Corporation's Deferred Compensation Company Stock Plan.