SEC Form 4 · accession 0001127602-17-011745
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 1:30 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 | 50,000 | $24.66 | A | 377,756 | I | RDH Trust |
| Common Stock | Mar 13, 2017 | F | 32,153 | $74.32 | D | 345,603 | I | RDH Trust |
| Common Stock | Mar 14, 2017 | M | 87,000 | $24.66 | A | 432,603 | I | RDH Trust |
| Common Stock | Mar 14, 2017 | F | 56,002 | $74.05 | D | 376,601 | I | RDH Trust |
| Common Stock | holding | — | — | — | 57,600 | I | By GRAT | |
| Common Stock | holding | — | — | — | 107,462 | D | ||
| Common StockF3 | holding | — | — | — | 32,605 | I | SAH 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) | $24.66 | Mar 13, 2017 | M | 50,000 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 50,000 | 87,000 | D |
| Stock Appreciation Rights (sars) | $24.66 | Mar 14, 2017 | M | 87,000 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 87,000 | 0 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARs).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARs) and for payment of the tax obligation on the exercise of the Table II SARs.
- F3The reporting person expressly disclaims beneficial ownership of the securities in the Suzanne A. Hoover Trust.
- F4Exercise of Stock Appreciation Rights (SARs).