SEC Form 4 · accession 0001127602-17-033341
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
Nov 27, 2017
Accepted (ET)
Nov 28, 2017 · 12:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000009389
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF4,F1,F3 | — | Nov 27, 2017 | I | 33,704 | D | — | — | Common Stock | 33,704 | 0 | I |
Explanation of responses
- F1Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F2Exempt discretionary transaction involving the transfer of units from one Ball Corporation Deferred Compensation Company Stock Plan ("DCCSP") fund to another fund within the DCCSP that are neither valued nor settled in Ball Corporation equity securities, in accordance with Spouse's June 14, 2017 10b5-1 Plan.
- F3Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F4The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.