SEC Form 4 · accession 0001127602-18-005563
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Peterson
Officer — SVP & COO Global MF & HHP Pkg
Period of report
Feb 12, 2018
Accepted (ET)
Feb 13, 2018 · 5:02 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 | 25,700 | $25.225 | A | 68,104 | D | |
| Common Stock | Feb 12, 2018 | F | 15,480 | $37.53 | D | 52,624 | D | |
| Common StockF3 | holding | — | — | — | 142 | I | 401(k) Plan |
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) | $12.6125 | Feb 12, 2018 | M | 6,800 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 6,800 | 0 | D |
| Stock Appreciation Rights (sars) | $17.9175 | Feb 12, 2018 | M | 18,900 | D | Jan 26, 2012 | Jan 26, 2021 | Common Stock | 18,900 | 0 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARS) and for the 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.
- F4Exercise of Stock Appreciation Rights (SARs).