SEC Form 4 · accession 0001127602-16-070308
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Michael J Cave
Director
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 5:02 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 | holding | — | — | — | 3,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2005 Deferred Compensation Company Stock PlanF1,F2 | — | Dec 15, 2016 | J | 4 | A | — | — | Common Stock | 4 | 2,428 | D |
| 2005 Deferred Compensation Company Stock PlanF1,F2 | — | Dec 15, 2016 | J | 275 | A | — | — | Common Stock | 275 | 2,703 | D |
| Restricted Stock UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 9,498 | 9,498 | D |
Explanation of responses
- F1Each unit may be settled for a single share of stock or the equivelent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F2Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F3Receipt of performance contingent restricted stock unit award under the Ball Corporation Stock and Cash Incentive Plan, which vests in three years upon the attainment of the performance criteria.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.