SEC Form 4 · accession 0001127602-17-005775
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Morrison
Officer — SR. V.P. and C.F.O.
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 11:28 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 | Feb 13, 2017 | J | 1,669 | $73.85 | A | 196,617 | D | |
| Common Stock | Feb 13, 2017 | F | 778 | $73.85 | D | 195,839 | D | |
| Common StockF3 | holding | — | — | — | 4,090 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 50 | I | By Son |
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 PlanF4,F6 | — | Feb 10, 2017 | J | 1,345 | A | — | — | Common Stock | 1,345 | 104,661 | D |
| Restricted Stock UnitsF7,F8 | — | Feb 13, 2017 | J | 1,669 | D | — | — | Common Stock | 1,669 | 50,393 | 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 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.
- F5Incentive compensation deferral into the Deferred Compensation Company Stock Plan and may include company match.
- F6Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F7Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F8Lapse of restricted stock units.