SEC Form 4 · accession 0001127602-16-038896
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
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 10:43 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 29, 2016 | J | 40,110 | D | — | — | Common Stock | 40,110 | 109,495 | D |
| Deferred Compensation Company Stock PlanF3,F4 | — | Jan 29, 2016 | J | 40,409 | A | — | — | Common Stock | 40,409 | 193,084 | D |
| Restricted Stock UnitsF1,F5 | — | Jan 29, 2016 | J | 1,890 | D | — | — | Common Stock | 1,890 | 107,605 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria. Units deferred to the Deferred Compensation Company Stock Plan and may include company match.
- 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.
- F4Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F5Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.