SEC Form 4 · accession 0001127602-17-014309
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Apr 4, 2017
Accepted (ET)
Apr 5, 2017 · 3:47 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 4, 2017 | M | 12,320 | $24.66 | A | 71,321 | D | |
| Common Stock | Apr 4, 2017 | F | 4,140 | $73.39 | D | 67,181 | D | |
| Common StockF3 | holding | — | — | — | 2,830 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 400 | I | By Daughter | |
| Common StockF4 | holding | — | — | — | 640 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (sars) | $24.66 | Apr 4, 2017 | M | 12,320 | D | Apr 25, 2008 | Apr 25, 2017 | Common Stock | 12,320 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld for the cost of the Stock Appreciation Rights (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).