SEC Form 4 · accession 0001127602-16-062653
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Sep 15, 2016
Accepted (ET)
Sep 16, 2016 · 4:01 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 | Sep 15, 2016 | J | 180 | $78.30 | A | 119,322 | D | |
| Common Stock | holding | — | — | — | 57,600 | I | By GRAT | |
| Common Stock | holding | — | — | — | 370,472 | I | RDH Trust | |
| Common StockF2 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Sep 15, 2016 | A | 3,000 | A | — | — | Common Stock | 3,000 | 17,342 | D |
| Deferred Compensation Company Stock PlanF5,F7 | — | Sep 15, 2016 | J | 307 | A | — | — | Common Stock | 307 | 2,660 | D |
| Deferred Compensation Company Stock PlanF5,F7 | — | Sep 15, 2016 | J | 4 | A | — | — | Common Stock | 4 | 2,664 | D |
Explanation of responses
- F1Dividend reinvestment in Ball Corporation's 2000 Deferred Compensation Company Stock Plan.
- F2The reporting person expressly disclaims beneficial ownership of the securities in the Suzanne A. Hoover Trust.
- F3Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F4Restricted Stock Unit Award granted under the Director Deposit Share Program.
- F5Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F6Contribution of quarterly directors fees and possible company match in Ball Corporation Deferred Compensation Company Stock Plan.
- F7Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F8Dividend reinvestment in Ball Corporation's Deferred Compensation Company Stock Plan.