SEC Form 4 · accession 0001127602-17-011655
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O.. · Director
Period of report
Mar 13, 2017
Accepted (ET)
Mar 14, 2017 · 5:20 pm EDT
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 | Mar 13, 2017 | M | 7,545 | $25.055 | A | 210,999 | D | |
| Common Stock | Mar 13, 2017 | D | 2,671 | $74.32 | D | 208,328 | D | |
| Common Stock | Mar 13, 2017 | F | 4,874 | $74.32 | D | 203,454 | D | |
| Common StockF4 | holding | — | — | — | 4,524 | I | 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 80,672 | I | JAH Irrevocable Trust |
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) | $25.055 | Mar 13, 2017 | M | 7,545 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 7,545 | 75,455 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARS)
- F2Exercise of Stock Appreciation Rights (SARS).
- F3Shares withheld for the payment of the tax obligation on the exercise of Stock Appreciation Rights (SARS).
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5The reporting person expressly disclaims beneficial ownership of these securities.