SEC Form 4/A · accession 0001127602-16-062366
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert D Strain
Officer — Sr. VP BallCorp & Pres. BATC
Period of report
Aug 16, 2016
Accepted (ET)
Sep 12, 2016 · 12:15 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 16, 2016 | M | 14,600 | $45.93 | A | 20,946 | D | |
| Common StockF3 | Aug 16, 2016 | D | 8,352 | $80.29 | D | 12,594 | D | |
| Common StockF4 | holding | — | — | — | 782 | I | 401(k) |
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) | $45.93 | Aug 16, 2016 | M | 14,600 | D | Jan 30, 2023 | Jan 30, 2023 | Common Stock | 14,600 | 6,200 | D |
Explanation of responses
- F1Exercise of Stock Appreciate 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.
- F3Amendment correcting the number of shares that were reported as 8532 and should have been 8352.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.