SEC Form 4 · accession 0001127602-17-025428
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Morrison
Officer — SR. V.P. and C.F.O.
Period of report
Aug 9, 2017
Accepted (ET)
Aug 10, 2017 · 5:32 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 | Aug 9, 2017 | M | 36,000 | $12.527 | A | 428,091 | D | |
| Common Stock | Aug 9, 2017 | F | 22,751 | $40.28 | D | 405,340 | D | |
| Common StockF3 | holding | — | — | — | 8,210 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 100 | 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) | $12.5275 | Aug 9, 2017 | M | 36,000 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 36,000 | 0 | D |
Explanation of responses
- F1Exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld to pay for the cost of the SARS and for the payment of the tax obligation on the exercise of the SARS.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
Remarks
The amount of securities beneficially owned following the transaction(s) reported in this Form 4 reflects the Stock Split effective May 16, 2017.