SEC Form 4 · accession 0001127602-15-011659
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O.. · Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 4:32 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 | 12,000 | $69.17 | A | 182,090 | D | |
| Common Stock | Mar 13, 2015 | F | 3,838 | $69.17 | D | 178,252 | D | |
| Common Stock | Mar 16, 2015 | J | 112 | $70.41 | A | 178,365 | D | |
| Common StockF4 | holding | — | — | — | 4,439 | I | 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 58,200 | I | JAH Irrevocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F7 | — | Mar 13, 2015 | J | 12,000 | D | — | — | Common Stock | 12,000 | 114,658 | D |
| Deferred Compensation Company Stock PlanF8,F10 | — | Mar 16, 2015 | J | 280 | A | — | — | Common Stock | 280 | 151,827 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Restricted Stock Units.
- F10Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II Restricted Stock Units.
- F3Dividend reinvestment in Ball Corporation 2000 Deferred Compensation Company Stock Plan.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5The reporting person expressly disclaims beneficial ownership of these securities.
- F6Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- 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.
- F9Dividend Reinvestment in Ball Corporation Deferred Compensation Company Stock Plan.