SEC Form 4 · accession 0001127602-17-003684
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 31, 2017
Accepted (ET)
Feb 2, 2017 · 5:26 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 31, 2017 | J | 4,550 | D | — | — | Common Stock | 4,550 | 31,717 | D |
| Deferred Compensation Company Stock PlanF3,F5 | — | Jan 31, 2017 | J | 9,362 | A | — | — | Common Stock | 9,362 | 74,189 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of Table II Performance Restricted Stock Units as a result of attainment of the performance criteria.
- F3Each 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.
- F4Lapsed performance contingent restricted stock units, based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan, deferred into Ball Corporation's Deferred Compensation Company Stock Plan as stock units and may include company match.
- F5Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.