SEC Form 4 · accession 0001127602-17-027855
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Sep 19, 2017
Accepted (ET)
Sep 20, 2017 · 5:09 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 19, 2017 | M | 52,000 | $12.5275 | A | 186,547 | D | |
| Common Stock | Sep 19, 2017 | F | 32,792 | $40.61 | D | 153,755 | D | |
| Common StockF3 | holding | — | — | — | 5,681 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 800 | I | By Daughter | |
| Common StockF4 | holding | — | — | — | 1,280 | 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 | Sep 19, 2017 | M | 52,000 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 52,000 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARS) and for payment of the tax obligation on the exercise of the Table II 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).
Remarks
The amount of securities beneficially owned following the transaction(s) reported in this Form 4 reflects the Stock Split effective May 16, 2017.