SEC Form 4 · accession 0001127602-18-005467
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
Feb 12, 2018
Accepted (ET)
Feb 13, 2018 · 3:48 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 | Feb 12, 2018 | M | 96,400 | $20.04 | A | 255,574 | D | |
| Common Stock | Feb 12, 2018 | F | 55,131 | $37.53 | D | 200,443 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (sars) | $10.02 | Feb 12, 2018 | M | 96,400 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 96,400 | 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).