SEC Form 4 · accession 0001127602-16-060639
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Aug 17, 2016
Accepted (ET)
Aug 18, 2016 · 4:13 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 | G | 42,400 | $79.58 | D | 57,600 | I | By GRAT |
| Common Stock | Aug 8, 2016 | G | 42,400 | $79.58 | A | 370,472 | I | RDH Trust |
| Common Stock | Aug 17, 2016 | M | 1,283 | $24.66 | A | 119,316 | D | |
| Common Stock | Aug 17, 2016 | M | 1,717 | $24.66 | A | 121,033 | D | |
| Common Stock | Aug 17, 2016 | F | 809 | $80.26 | D | 120,224 | D | |
| Common Stock | Aug 17, 2016 | F | 1,082 | $80.26 | D | 119,142 | D | |
| Common StockF3 | holding | — | — | — | 32,605 | I | SAH Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (iso) (Right to Buy)F4 | $24.66 | Aug 17, 2016 | M | 1,283 | D | — | Apr 25, 2017 | Common Stock | 1,283 | 6,717 | D |
| Stock Option (iso) (Right to Buy)F4 | $24.66 | Aug 17, 2016 | M | 1,717 | D | — | Apr 25, 2017 | Common Stock | 1,717 | 5,000 | D |
Explanation of responses
- F1Exercise of Incentive Stock Options (ISOs).
- F2Shares swapped for the cost of the Incentive Stock Options (ISOs) and withheld for payment of the tax obligation on the exercise of the Incentive Stock Options.
- F3The reporting person expressly disclaims beneficial ownership of the securities in the Suzanne A. Hoover Trust.
- F4Shares 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.