SEC Form 4 · accession 0001127602-15-011703
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 5:10 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 16, 2015 | J | 6 | $70.41 | A | 33,799 | D | |
| Common StockF2 | holding | — | — | — | 2,532 | I | 401(k) Plan | |
| Common StockF3 | holding | — | — | — | 400 | I | By Daughter | |
| Common StockF3 | holding | — | — | — | 640 | I | By Son |
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 | 3,200 | D | — | — | Common Stock | 3,200 | 14,179 | D |
| Deferred Compensation Company Stock PlanF6,F8 | — | Mar 13, 2015 | J | 3,200 | A | — | — | Common Stock | 3,200 | 51,234 | D |
| Deferred Compensation Company Stock PlanF6,F8 | — | Mar 16, 2015 | J | 89 | A | — | — | Common Stock | 89 | 51,322 | D |
Explanation of responses
- F1Dividend reinvestment in Ball Corporation 2000 Deferred Compensation Company Stock Plan.
- F2Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F3The reporting person expressly disclaims beneficial ownership of these securities.
- 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 are deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include a 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.