SEC Form 4 · accession 0001127602-18-003346
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
Jan 31, 2018
Accepted (ET)
Feb 1, 2018 · 5:01 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 31, 2018 | M | 7,498 | D | — | — | Common Stock | 7,498 | 65,720 | D |
| Deferred Compensation Company Stock PlanF3,F5 | — | Jan 31, 2018 | M | 15,518 | A | — | — | Common Stock | 15,518 | 165,262 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F2Lapse of performance contingent restricted stock units, as a result of attainment of the performance criteria, based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
- F3Each 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.
- F4Lapsed Restricted Stock Units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F5Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.