SEC Form 4 · accession 0001127602-16-038869
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
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 9:05 am EST
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 | Jan 29, 2016 | J | 5,205 | $66.83 | A | 41,497 | D | |
| Common Stock | Jan 29, 2016 | F | 1,719 | $66.83 | D | 39,778 | D | |
| Common StockF3 | holding | — | — | — | 2,618 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 400 | I | By Daughter | |
| Common StockF4 | 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 UnitsF5,F6 | — | Jan 29, 2016 | J | 5,205 | D | — | — | Common Stock | 5,205 | 13,059 | D |
| Restricted Stock UnitsF5,F7 | — | Jan 29, 2016 | J | 245 | D | — | — | Common Stock | 245 | 12,814 | 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.
- F4The reporting person expressly disclaims beneficial ownership of these securities.
- F5Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F6Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria.
- F7Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.