SEC Form 4 · accession 0001127602-17-024033
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
Jul 21, 2017
Accepted (ET)
Jul 24, 2017 · 1:48 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 | Jul 21, 2017 | M | 48,240 | $12.5275 | A | 343,676 | I | By Spouse |
| Common StockF2 | Jul 21, 2017 | F | 29,993 | $42.92 | D | 313,683 | I | By Spouse |
| Common StockF2 | Jul 21, 2017 | M | 48,200 | $10.02 | A | 361,883 | I | By Spouse |
| Common StockF2 | Jul 21, 2017 | F | 28,463 | $42.92 | D | 333,420 | I | By Spouse |
| Common StockF4 | holding | — | — | — | 6,013 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 108,905 | D |
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) | $12.5275 | Jul 21, 2017 | M | 48,240 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 48,240 | 0 | I |
| Stock Appreciation Rights (sars) | $10.02 | Jul 21, 2017 | M | 48,200 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 48,200 | 48,200 | I |
| Stock Appreciation Rights (sars) | $12.5275 | holding | — | — | — | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 22,560 | 22,560 | D |
| Stock Appreciation Rights (sars) | $10.02 | holding | — | — | — | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 47,600 | 47,600 | D |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARs).
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Shares utilized to pay for the cost of the Stock Appreciation Rights (SARs) and for the payment of the tax obligation on the exercise of the SARs.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5Exercise of Stock Appreciation Rights (SARS).