SEC Form 4 · accession 0001127602-17-001709
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel William Fisher
Officer — Sr VP & COO Global Bev Pkg
Period of report
Jan 13, 2017
Accepted (ET)
Jan 17, 2017 · 10:43 am 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 | Jan 15, 2017 | J | 400 | $76.17 | A | 3,128 | D | |
| Common Stock | Jan 15, 2017 | F | 150 | $76.17 | D | 2,978 | D | |
| 401KF3 | holding | — | — | — | 903 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | Jan 13, 2017 | A | 10,000 | A | — | — | Common Stock | 10,000 | 28,284 | D |
| Restricted Stock UnitsF6 | — | Jan 15, 2017 | J | 400 | D | — | — | Common Stock | 400 | 27,884 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Restricted Stock Units.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F5Restricted Stock Units awarded under the Stock and Cash Incentive Plan.
- F6Lapse of restricted stock units.