SEC Form 4 · accession 0001127602-16-038919
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Morrison
Officer — SR. V.P. and C.F.O.
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 11:17 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 | 6,948 | $66.83 | A | 181,469 | D | |
| Common Stock | Jan 29, 2016 | F | 2,266 | $66.83 | D | 179,203 | D | |
| Common StockF3 | holding | — | — | — | 4,063 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 50 | 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 | — | Jan 29, 2016 | J | 9,264 | D | — | — | Common Stock | 9,264 | 32,127 | D |
| Deferred Compensation Company Stock PlanF6,F7 | — | Jan 29, 2016 | J | 2,615 | A | — | — | Common Stock | 2,615 | 96,126 | D |
| Restricted Stock UnitsF4,F8 | — | Jan 29, 2016 | J | 436 | D | — | — | Common Stock | 436 | 31,691 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II performance contingent restricted stock units.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II performance contingent restricted stock units.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F5Lapse 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.
- 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.
- F7Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F8Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.