SEC Form 4 · accession 0001127602-16-060340
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Cave
Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 16, 2016 · 3:48 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 | holding | — | — | — | 3,000 | D |
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,F3 | — | Aug 15, 2016 | A | 3,000 | A | — | — | Common Stock | 3,000 | 9,498 | D |
| 2005 Deferred Compensation Company Stock PlanF4,F5 | — | holding | — | — | — | — | — | Common Stock | 2,152 | 2,152 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Restricted Stock Unit grant in conjunction with the Deposit Share Program.
- F3The restricted stock units will cliff lapse upon separation from the Ball Corporation Board of Directors for any reason other than voluntary separation.
- F4Each unit may be settled for a single share of stock or the equivelent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F5Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.