SEC Form 4 · accession 0001127602-16-046198
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
Mar 11, 2016
Accepted (ET)
Mar 14, 2016 · 12:06 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 | Mar 11, 2016 | M | 24,000 | $21.845 | A | 61,468 | D | |
| Common Stock | Mar 11, 2016 | F | 14,941 | $69.02 | D | 46,527 | D | |
| Common StockF3 | holding | — | — | — | 2,707 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (sars) | $21.845 | Mar 11, 2016 | M | 24,000 | D | Apr 26, 2007 | Apr 26, 2016 | Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARS) and for payment of the tax obligation on the exercise of the Table II SARS.
- 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.
- F5Exercise of Stock Appreciation rights (SARS).