SEC Form 4 · accession 0001127602-17-027041
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff A Knobel
Officer — Vice President & Treasurer
Period of report
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 3:48 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 Stock | Sep 5, 2017 | M | 13,900 | $17.918 | A | 82,038 | D | |
| Common Stock | Sep 5, 2017 | F | 8,682 | $39.99 | D | 73,356 | D | |
| Common StockF3 | holding | — | — | — | 3,110 | I | 401K |
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) | $17.9175 | Sep 5, 2017 | M | 13,900 | D | Jan 26, 2012 | Jan 26, 2021 | Common Stock | 13,900 | 0 | 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 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.
- F4Exercise of Stock Appreciation Rights (SARS).