SEC Form 4 · accession 0001127602-15-012199
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Shawn M Barker
Officer — Vice President & Controller
Period of report
Mar 18, 2015
Accepted (ET)
Mar 20, 2015 · 4:18 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 18, 2015 | M | 1,500 | $25.055 | A | 11,610 | D | |
| Common Stock | Mar 18, 2015 | D | 840 | $70.95 | D | 10,770 | D | |
| Common Stock | Mar 18, 2015 | M | 2,500 | $20.04 | A | 13,270 | D | |
| Common Stock | Mar 18, 2015 | D | 1,280 | $70.95 | D | 11,990 | D | |
| Common Stock | Mar 18, 2015 | M | 9,400 | $25.225 | A | 21,390 | D | |
| Common Stock | Mar 18, 2015 | D | 5,810 | $70.95 | D | 15,580 | D | |
| Common Stock | Mar 18, 2015 | M | 2,625 | $25.055 | A | 18,205 | D | |
| Common Stock | Mar 18, 2015 | F | 927 | $70.95 | D | 17,278 | D | |
| Common Stock | Mar 18, 2015 | M | 6,500 | $20.04 | A | 23,778 | D | |
| Common Stock | Mar 18, 2015 | F | 1,836 | $70.95 | D | 21,942 | D | |
| Common Stock | Mar 18, 2015 | M | 600 | $25.225 | A | 22,542 | D | |
| Common Stock | Mar 18, 2015 | F | 214 | $70.95 | D | 22,328 | D | |
| Common StockF4 | holding | — | — | — | 1,011 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (sars) | $25.055 | Mar 18, 2015 | M | 1,500 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 1,500 | 0 | D |
| Stock Appreciation Rights (sars) | $20.04 | Mar 18, 2015 | M | 2,500 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 2,500 | 0 | D |
| Stock Appreciation Rights (sars) | $25.225 | Mar 18, 2015 | M | 9,400 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 9,400 | 0 | D |
| Stock Option (iso) (Right to Buy) | $25.055 | Mar 18, 2015 | M | 2,625 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 2,625 | 0 | D |
| Stock Option (iso) (Right to Buy) | $20.04 | Mar 18, 2015 | M | 6,500 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 6,500 | 0 | D |
| Stock Option (iso) (Right to Buy) | $25.225 | Mar 18, 2015 | M | 600 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 600 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARS).
- F2Shares utilized to pay for the cost of the SARS.
- F3Exercise of Incentive Stock Options (ISO).
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.