SEC Form 4 · accession 0001127602-16-059926
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff A Knobel
Officer — Vice President & Treasurer
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 5:12 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 | 9,000 | $37.70 | A | 33,416 | D | |
| Common Stock | Aug 8, 2016 | D | 5,756 | $80.20 | D | 27,660 | D | |
| Common Stock | Aug 8, 2016 | M | 875 | $20.04 | A | 28,535 | D | |
| Common Stock | Aug 8, 2016 | M | 1,100 | $25.225 | A | 29,635 | D | |
| Common Stock | Aug 8, 2016 | M | 1,350 | $35.835 | A | 30,985 | D | |
| Common StockF4 | holding | — | — | — | 1,503 | I | 401K |
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) | $37.70 | Aug 8, 2016 | M | 9,000 | D | Jan 25, 2013 | Jan 25, 2022 | Common Stock | 9,000 | 0 | D |
| Stock Option (iso) (Right to Buy)F5 | $20.04 | Aug 8, 2016 | M | 875 | D | — | Jan 28, 2019 | Common Stock | 875 | 0 | D |
| Stock Option (iso) (Right to Buy)F5 | $25.225 | Aug 8, 2016 | M | 1,100 | D | — | Jan 27, 2020 | Common Stock | 1,100 | 0 | D |
| Stock Option (iso) (Right to Buy) | $35.835 | Aug 8, 2016 | M | 1,350 | D | Jan 26, 2012 | Jan 26, 2021 | Common Stock | 1,350 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARs).
- F2Shares utilized to pay for the cost of the SARS and for the payment of the tax obligation on the exercise 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 grant of the stock option.