SEC Form 4 · accession 0001127602-17-002552
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
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 12:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (sars) | $76.75 | Jan 25, 2017 | A | 19,906 | A | Jan 25, 2018 | Jan 25, 2027 | Common Stock | 19,906 | 19,906 | D |
| Restricted Stock UnitsF2,F3 | — | Jan 25, 2017 | A | 4,430 | A | — | — | Common Stock | 4,430 | 36,267 | D |
Explanation of responses
- F1SARs (Stock Appreciation Rights) granted under the Ball Corporation Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant.
- F2Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F3Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.