SEC Form 4 · accession 0001127602-16-046481
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
R David Hoover
Director
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 2:20 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 14, 2016 | M | 140,000 | $21.845 | A | 257,633 | D | |
| Common Stock | Mar 14, 2016 | F | 88,800 | $68.77 | D | 168,833 | D | |
| Common Stock | Mar 15, 2016 | M | 92,000 | $21.845 | A | 260,833 | D | |
| Common Stock | Mar 15, 2016 | F | 58,509 | $68.58 | D | 202,324 | D | |
| Common Stock | Mar 15, 2016 | M | 8,000 | $21.845 | A | 210,324 | D | |
| Common Stock | Mar 15, 2016 | S | 1,500 | $68.62 | D | 208,824 | D | |
| Common Stock | Mar 15, 2016 | S | 100 | $68.59 | D | 208,724 | D | |
| Common Stock | Mar 15, 2016 | S | 200 | $68.57 | D | 208,524 | D | |
| Common Stock | Mar 15, 2016 | S | 860 | $68.51 | D | 207,664 | D | |
| Common Stock | Mar 15, 2016 | S | 1,600 | $68.50 | D | 206,064 | D | |
| Common Stock | Mar 15, 2016 | S | 240 | $68.39 | D | 205,824 | D | |
| Common Stock | Mar 15, 2016 | S | 1,000 | $68.335 | D | 204,824 | D | |
| Common Stock | Mar 15, 2016 | S | 700 | $68.3325 | D | 204,124 | D | |
| Common Stock | Mar 15, 2016 | S | 1,800 | $68.33 | D | 202,324 | D | |
| Common StockF4 | holding | — | — | — | 0 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 100,000 | I | By GRAT | |
| Common Stock | holding | — | — | — | 243,381 | I | RDH Trust | |
| Common StockF5 | holding | — | — | — | 32,605 | I | SAH Trust |
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 14, 2016 | M | 140,000 | D | Apr 26, 2007 | Apr 26, 2016 | Common Stock | 140,000 | 92,000 | D |
| Stock Appreciation Rights (sars) | $21.845 | Mar 15, 2016 | M | 92,000 | D | Apr 26, 2007 | Apr 26, 2016 | Common Stock | 92,000 | 0 | D |
| Stock Option (iso) (Right to Buy) | $21.845 | Mar 15, 2016 | M | 8,000 | D | Apr 26, 2007 | Apr 26, 2016 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Common stock acquired upon the 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.
- F3Common stock acquired from the exercise of Incentive Stock Options (ISOs).
- F4Total number of 401(k) Plan shares include shares previously acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5The reporting person expressly disclaims beneficial ownership of the securities in the Suzanne A. Hoover Trust.
- F6Exercise of Stock Appreciation Rights (SARs).
- F7Exercise of Incentive Stock Options (ISOs).