SEC Form 4 · accession 0001127602-17-013743
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O.. · Director
Period of report
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 12:53 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 | Apr 3, 2017 | M | 7,545 | $25.055 | A | 211,106 | D | |
| Common Stock | Apr 3, 2017 | F | 4,892 | $73.35 | D | 206,214 | D | |
| Common StockF3 | holding | — | — | — | 4,524 | I | 401(k) Plan | |
| Common StockF4 | 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 | Apr 3, 2017 | M | 7,545 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 7,545 | 67,910 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARS)
- F2Shares utilized to pay for the cost of the SARs and the tax obligation resulting from the exercise of the SARs.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4The reporting person expressly disclaims beneficial ownership of these securities.
- F5Exercise of Stock Appreciation Rights (SARS).