SEC Form 4 · accession 0001127602-17-017280
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Peterson
Officer — SVP & COO Global MF & HHP Pkg
Period of report
May 8, 2017
Accepted (ET)
May 8, 2017 · 7:04 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 | May 8, 2017 | M | 5,000 | $20.04 | A | 21,383 | D | |
| Common Stock | May 8, 2017 | F | 2,456 | $79.61 | D | 18,927 | D | |
| Common StockF3 | holding | — | — | — | 71 | I | 401(k) Plan |
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) | $20.04 | May 8, 2017 | M | 5,000 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 5,000 | 0 | 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.
- F4Exercise of Stock Appreciation Rights (SARs).