SEC Form 4 · accession 0001127602-18-006367
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
Feb 14, 2018
Accepted (ET)
Feb 15, 2018 · 4:15 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 StockF2 | Feb 14, 2018 | M | 49,600 | $17.918 | A | 340,092 | I | By Spouse |
| Common StockF2 | Feb 14, 2018 | F | 30,940 | $38.12 | D | 309,152 | I | By Spouse |
| Common StockF4 | holding | — | — | — | 6,041 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 122,208 | D |
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) | $17.9175 | Feb 14, 2018 | M | 49,600 | D | Jan 26, 2012 | Jan 26, 2021 | Common Stock | 49,600 | 0 | I |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARs).
- F2The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
- F3Shares 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.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5Exercise of Stock Appreciation Rights (SARS) in accordance with Reporting Person's Spouse's 10b5-1 Plan.