SEC Form 4 · accession 0001127602-17-026067
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
Aug 18, 2017
Accepted (ET)
Aug 21, 2017 · 12:26 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 | Aug 18, 2017 | M | 48,200 | $10.02 | A | 343,636 | I | By Spouse |
| Common StockF2 | Aug 18, 2017 | F | 28,883 | $40.12 | D | 314,753 | I | By Spouse |
| Common StockF2 | Aug 18, 2017 | M | 54,400 | $12.6125 | A | 369,153 | I | By Spouse |
| Common StockF2 | Aug 18, 2017 | F | 34,476 | $40.12 | D | 334,677 | 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)F2 | $10.02 | Aug 18, 2017 | M | 48,200 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 48,200 | 0 | I |
| Stock Appreciation Rights (sars)F2 | $12.6125 | Aug 18, 2017 | M | 54,400 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 54,400 | 0 | I |
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).