SEC Form 4 · accession 0001127602-16-061247
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn M Barker
Officer — Vice President & Controller
Period of report
Aug 24, 2016
Accepted (ET)
Aug 26, 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 24, 2016 | S | 16,000 | $80.34 | D | 3,397 | D | |
| Common Stock | Aug 24, 2016 | M | 15,800 | $35.835 | A | 19,197 | D | |
| Common Stock | Aug 24, 2016 | F | 7,095 | $79.81 | D | 12,102 | D | |
| Common Stock | Aug 26, 2016 | G | 2,500 | $80.34 | D | 9,602 | D | |
| Common StockF3 | holding | — | — | — | 1,202 | I | 401(k) Plan |
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) | $35.835 | Aug 24, 2016 | M | 15,800 | D | Jan 26, 2012 | Jan 26, 2021 | Common Stock | 15,800 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARS).
- F2Shares utilized to pay for the cost of the SARS.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.