SEC Form 4 · accession 0001127602-17-021516
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Jun 14, 2017
Accepted (ET)
Jun 15, 2017 · 5:15 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 StockF2 | Jun 14, 2017 | M | 3,760 | $12.5275 | A | 299,167 | I | By Spouse |
| Common StockF2 | Jun 14, 2017 | S | 3,760 | $41.4821 | D | 295,407 | I | By Spouse |
| Common StockF2 | Jun 14, 2017 | M | 3,600 | $10.02 | A | 299,007 | I | By Spouse |
| Common StockF2 | Jun 14, 2017 | S | 3,600 | $41.4806 | D | 295,407 | I | By Spouse |
| Common StockF2 | Jun 14, 2017 | M | 13,600 | $12.6125 | A | 309,007 | I | By Spouse |
| Common StockF2 | Jun 14, 2017 | S | 13,600 | $41.4725 | D | 295,407 | I | By Spouse |
| Common StockF3 | holding | — | — | — | 6,001 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 108,887 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (iso) (Right to Buy)F2,F5 | $12.5275 | Jun 14, 2017 | M | 3,760 | D | — | Apr 23, 2018 | Common Stock | 3,760 | 0 | I |
| Stock Option (iso) (Right to Buy)F2,F5 | $10.02 | Jun 14, 2017 | M | 3,600 | D | — | Jan 28, 2019 | Common Stock | 3,600 | 0 | I |
| Stock Option (iso) (Right to Buy)F2 | $12.6125 | Jun 14, 2017 | M | 13,600 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 13,600 | 0 | I |
Explanation of responses
- F1Common stock acquired from exercise of Incentive Stock Options (ISOs).
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Exercise of Incentive Stock Options (ISO).
- F5Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the Incentive Stock Option (ISO).