SEC Form 4 · accession 0001127602-17-026890
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O.. · Director
Period of report
Sep 1, 2017
Accepted (ET)
Sep 5, 2017 · 12:15 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 Stock | Sep 1, 2017 | M | 15,090 | $12.528 | A | 422,679 | D | |
| Common Stock | Sep 1, 2017 | F | 9,545 | $40.15 | D | 413,134 | D | |
| Common StockF3 | holding | — | — | — | 9,083 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 161,344 | I | JAH Irrevocable Trust |
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 | Sep 1, 2017 | M | 15,090 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 15,090 | 60,370 | 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.
- F4The reporting person expressly disclaims beneficial ownership of these securities.
- F5Exercise of Stock Appreciation Rights (SARS) pursuant to reporting person's February 10, 2017, 10b5-1 Plan.