SEC Form 4 · accession 0001127602-16-046632
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn M Barker
Officer — Vice President & Controller
Period of report
Mar 15, 2016
Accepted (ET)
Mar 17, 2016 · 10:30 am 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 15, 2016 | J | 640 | $68.58 | A | 19,564 | D | |
| Common Stock | Mar 15, 2016 | F | 205 | $68.58 | D | 19,359 | D | |
| Common Stock | holding | — | — | — | 1,129 | I | 401(k) Plan |
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 | — | Mar 15, 2016 | J | 3,200 | D | — | — | Common Stock | 3,200 | 6,715 | D |
| Deferred Compensation Company Stock PlanF2,F3 | — | Mar 15, 2016 | J | 2,852 | A | — | — | Common Stock | 2,852 | 30,482 | D |
| Deferred Compensation Company Stock PlanF2,F3 | — | Mar 15, 2016 | J | 52 | A | — | — | Common Stock | 52 | 30,535 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Each 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.
- F3Stock Units in the Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.