SEC Form 4/A · accession 0001127602-16-070766
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Erik Bouts
Officer — Sr. VP & COO Globl Mtl Bev Pkg
Period of report
Jul 27, 2016
Accepted (ET)
Dec 22, 2016 · 1:15 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 | — | — | — | 12,488 | D |
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 | 14,894 | A | — | — | Common Stock | 14,894 | 41,363 | D |
| Stock Appreciation Rights (sars) | $66.15 | holding | — | — | — | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 28,203 | 28,203 | D |
| Stock Appreciation Rights (sars) | $66.10 | holding | — | — | — | Jan 27, 2017 | Jan 27, 2026 | Common Stock | 25,939 | 25,939 | 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.
- F3Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
Remarks
Reporting person is no longer subject to Section 16.