SEC Form 4 · accession 0001127602-16-066509
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Jul 27, 2016
Accepted (ET)
Nov 9, 2016 · 11:08 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Jul 27, 2016 | A | 9,635 | A | — | — | Common Stock | 9,635 | 21,837 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Special Acquisition Restricted Stock Unit (RSU) awards were granted to certain employees on July 27, 2016, subsequent to the completion of the acquisition of Rexam PLC and the sale of the divestment business to Ardagh Group. Due to the complexity associated with the consolidation of the businesses and related financial information, the calculations for such awards were finalized on November 8, 2016.
- F3Special Acquisition Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.