SEC Form 4 · accession 0001127602-15-016282
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
May 4, 2015
Accepted (ET)
May 5, 2015 · 4:17 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 | May 4, 2015 | M | 4,800 | $25.055 | A | 20,514 | D | |
| Common Stock | May 4, 2015 | S | 400 | $74.885 | D | 20,114 | D | |
| Common Stock | May 4, 2015 | S | 800 | $74.88 | D | 19,314 | D | |
| Common Stock | May 4, 2015 | S | 2,500 | $74.87 | D | 16,814 | D | |
| Common Stock | May 4, 2015 | S | 400 | $74.86 | D | 16,414 | D | |
| Common Stock | May 4, 2015 | S | 100 | $74.85 | D | 16,314 | D | |
| Common Stock | May 4, 2015 | S | 500 | $74.845 | D | 15,814 | D | |
| Common Stock | May 4, 2015 | S | 100 | $74.84 | D | 15,714 | D | |
| Common StockF2 | holding | — | — | — | 479 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF3,F5 | — | May 4, 2015 | I | 5,364 | D | — | — | Common Stock | 5,364 | 18,939 | D |
| Employee Stock Option (Right to Buy) | $25.055 | May 4, 2015 | M | 4,800 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 4,800 | 0 | D |
Explanation of responses
- F1Exercise of stock options.
- F2Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F3Each 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.
- F4Exempt discretionary transaction involving the transfer of units from one Ball Corporation Deferred Compensation Company Stock Plan ("DCCSP") fund into another fund within the DCCSP that are neither valued nor settled in Ball Corporation equity securities.
- F5Stock Units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.