SEC Form 4 · accession 0001127602-17-001711
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Peterson
Officer — SVP & COO Global MF & HHP Pkg
Period of report
Jan 15, 2017
Accepted (ET)
Jan 17, 2017 · 11:02 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 | 1,000 | $76.17 | A | 16,710 | D | |
| Common Stock | Jan 15, 2017 | F | 373 | $76.17 | D | 16,337 | D | |
| Common StockF3 | holding | — | — | — | 70 | 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 15, 2017 | J | 1,000 | D | — | — | Common Stock | 1,000 | 20,919 | 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.
- F5Lapse of restricted stock units.