SEC Form 4 · accession 0001127602-17-003887
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
Feb 3, 2017
Accepted (ET)
Feb 3, 2017 · 4:19 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 StockF2 | Feb 3, 2017 | F | 1,752 | $75.07 | D | 134,212 | I | By Spouse |
| Common StockF2 | Feb 3, 2017 | J | 4,905 | $75.07 | A | 139,117 | I | By Spouse |
| Common StockF2 | Feb 3, 2017 | F | 1,466 | $75.07 | D | 137,651 | I | By Spouse |
| Common StockF5 | holding | — | — | — | 2,985 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 54,437 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF2,F6,F8 | — | Feb 3, 2017 | J | 4,905 | D | — | — | Common Stock | 4,905 | 33,482 | I |
Explanation of responses
- F1Shares withheld for payment of the tax obligation upon the distribution of shares from the Ball Corporation 2000 Deferred Compensation Company Stock Plan.
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Common stock acquired upon the distribution of shares from the Ball Corporation 2005 Deferred Compensation Company Stock Plan.
- F4Shares withheld for payment of the tax obligation upon the distribution of shares from the Ball Corporation 2005 Deferred Compensation Company Stock Plan.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6Each 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.
- F7Distribution of shares from the Ball Corporation 2005 Deferred Compensation Company Stock Plan due to retirement as an officer of the Company.
- F8Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.