SEC Form 4 · accession 0001127602-17-034205
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
Dec 6, 2017
Accepted (ET)
Dec 8, 2017 · 12:36 pm EST
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 | Dec 6, 2017 | M | 5,440 | $40.81 | A | 114,363 | D | |
| Common Stock | Dec 6, 2017 | F | 1,670 | $40.81 | D | 112,693 | D | |
| Common Stock | Dec 6, 2017 | M | 22,560 | $12.528 | A | 135,253 | D | |
| Common Stock | Dec 6, 2017 | F | 13,063 | $40.81 | D | 122,190 | D | |
| Common StockF5 | holding | — | — | — | 6,026 | I | 401(k) Plan | |
| Common StockF6 | holding | — | — | — | 295,466 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (iso) (Right to Buy)F8 | $12.5275 | Dec 6, 2017 | M | 5,440 | D | — | Apr 23, 2018 | Common Stock | 5,440 | 0 | D |
| Stock Appreciation Rights (sars) | $12.5275 | Dec 6, 2017 | M | 22,560 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 22,560 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Incentive Stock Options (ISOs).
- F2Shares swapped to pay for the cost of the ISOs.
- F3Common stock acquired from exercise of Stock Appreciation Rights (SARs).
- F4Shares 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.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F7Exercise of Incentive Stock Options (ISOs).
- F8Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the Incentive Stock Option (ISO).
- F9Exercise of Stock Appreciation Rights (SARS).