SEC Form 4 · accession 0001127602-16-047010
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
Mar 17, 2016
Accepted (ET)
Mar 21, 2016 · 12:34 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 17, 2016 | M | 5,500 | $21.845 | A | 45,092 | D | |
| Common Stock | Mar 17, 2016 | F | 2,901 | $71.59 | D | 42,191 | D | |
| Common Stock | Mar 17, 2016 | M | 5,500 | $21.845 | A | 47,691 | D | |
| Common Stock | Mar 17, 2016 | F | 1,679 | $71.59 | D | 46,012 | D | |
| Common StockF4 | holding | — | — | — | 2,868 | I | 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 142,455 | I | By Spouse |
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 17, 2016 | M | 5,500 | D | Apr 27, 2007 | Apr 27, 2016 | Common Stock | 5,500 | 0 | D |
| Stock Option (iso) (Right to Buy)F6 | $21.845 | Mar 17, 2016 | M | 5,500 | D | — | Apr 27, 2016 | Common Stock | 5,500 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARS).
- F2Shares utilized to pay for the cost of the Stock Appreciation Rights (SARs) and for the payment of the tax obligation on the exercise of the SARs.
- F3Exercise of Incentive Stock Options (ISO).
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F6Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the Incentive Stock Option (ISO).