SEC Form 4 · accession 0001127602-16-066618
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 9, 2016 · 5:43 pm EST
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 | Nov 8, 2016 | M | 25,000 | $24.66 | A | 395,472 | I | RDH Trust |
| Common Stock | Nov 8, 2016 | F | 15,783 | $79.60 | D | 379,689 | I | RDH Trust |
| Common Stock | holding | — | — | — | 57,600 | I | By GRAT | |
| Common Stock | holding | — | — | — | 119,322 | 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 Appreciation Rights (sars) | $24.66 | Nov 8, 2016 | M | 25,000 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 25,000 | 237,000 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARs).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARs) and for payment of the tax obligation on the exercise of the Table II SARs.
- F3The reporting person expressly disclaims beneficial ownership of the securities in the Suzanne A. Hoover Trust.