SEC Form 4 · accession 0001127602-16-038923
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 11:38 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 | 4,489 | D | — | — | Common Stock | 4,489 | 12,413 | D |
| Restricted Stock UnitsF3,F1,F2 | — | Jan 29, 2016 | J | 1,385 | D | — | — | Common Stock | 1,385 | 65 | I |
| Deferred Compensation Company Stock PlanF4,F6 | — | Jan 29, 2016 | J | 4,788 | A | — | — | Common Stock | 4,788 | 64,371 | D |
| Deferred Compensation Company Stock PlanF3,F4,F6 | — | Jan 29, 2016 | J | 1,662 | A | — | — | Common Stock | 1,662 | 47,183 | I |
| Restricted Stock UnitsF1,F7 | — | Jan 29, 2016 | J | 211 | D | — | — | Common Stock | 211 | 12,202 | D |
| Restricted Stock UnitsF3,F1,F7 | — | Jan 29, 2016 | J | 65 | D | — | — | Common Stock | 65 | 0 | I |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of performance contingent restricted stock units.
- F3The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F4Each 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.
- F5Lapsed performance contingent restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan as stock units and may include company match.
- F6Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F7Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.