SEC Form 4 · accession 0001127602-16-059939
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 5:46 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 | 17,000 | $24.66 | A | 63,610 | D | |
| Common Stock | Aug 8, 2016 | D | 10,711 | $80.20 | D | 52,899 | D | |
| Common Stock | Aug 8, 2016 | M | 2,000 | $25.225 | A | 54,899 | D | |
| Common StockF4 | holding | — | — | — | 2,759 | I | 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 400 | I | By Daughter | |
| Common StockF5 | holding | — | — | — | 640 | 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) | $24.66 | Aug 8, 2016 | M | 17,000 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 17,000 | 12,320 | D |
| Stock Option (iso) (Right to Buy) | $25.225 | Aug 8, 2016 | M | 2,000 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Exercise 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.
- 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 these securities.