SEC Form 4 · accession 0001127602-16-070312
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
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 5:30 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 | Dec 15, 2016 | J | 6 | $76.30 | A | 54,437 | D | |
| Common StockF2 | Dec 15, 2016 | J | 20 | $76.30 | A | 142,516 | I | By Spouse |
| Common StockF3 | holding | — | — | — | 2,981 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF4,F6 | — | Dec 15, 2016 | J | 110 | A | — | — | Common Stock | 110 | 64,827 | D |
| Deferred Compensation Company Stock PlanF4,F6 | — | Dec 15, 2016 | J | 65 | A | — | — | Common Stock | 65 | 38,387 | I |
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 owned by Spouse.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Each 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.
- F5Dividend reinvestment in Ball Corporation's Deferred Compensation Company Stock Plan.
- F6Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.