SEC Form 4 · accession 0001127602-18-003352
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
Jan 31, 2018
Accepted (ET)
Feb 1, 2018 · 5:11 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 | Jan 31, 2018 | M | 7,556 | $38.28 | A | 161,444 | D | |
| Common Stock | Jan 31, 2018 | F | 2,270 | $38.28 | D | 159,174 | D | |
| Common StockF3 | holding | — | — | — | 5,707 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6 | — | Jan 31, 2018 | M | 7,558 | D | — | — | Common Stock | 7,558 | 62,229 | D |
| Deferred Compensation Company Stock PlanF7,F9 | — | Jan 31, 2018 | M | 8,082 | A | — | — | Common Stock | 8,082 | 127,969 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Performance Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
- 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.
- F5Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F6Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria.
- F7Each 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.
- F8Lapse of Restricted Stock Units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match.
- F9Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.