SEC Form 4 · accession 0001127602-16-059913
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Morrison
Officer — SR. V.P. and C.F.O.
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 4:19 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 | Aug 8, 2016 | M | 17,672 | $24.66 | A | 192,947 | D | |
| Common Stock | Aug 8, 2016 | D | 11,135 | $80.20 | D | 181,812 | D | |
| Common Stock | Aug 8, 2016 | M | 6,328 | $24.66 | A | 188,140 | D | |
| Common Stock | Aug 8, 2016 | F | 1,946 | $80.20 | D | 186,194 | D | |
| Common StockF4 | holding | — | — | — | 4,077 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 50 | 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)F1 | $24.66 | Aug 8, 2016 | M | 17,672 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 17,672 | 0 | D |
| Stock Option (iso) (Right to Buy)F5 | $24.66 | Aug 8, 2016 | M | 6,328 | D | — | Apr 25, 2017 | Common Stock | 6,328 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARS).
- F2Shares utilized to pay for the cost of the SARS.
- F3Exercise of Incentive Stock Options (ISOs).
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the stock option.