SEC Form 4 · accession 0001127602-18-006449
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel William Fisher
Officer — Sr VP & COO Global Bev Pkg
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 5:51 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 13, 2018 | M | 5,000 | $37.76 | A | 22,217 | D | |
| Common Stock | Feb 13, 2018 | F | 1,450 | $37.76 | D | 20,767 | D | |
| Common Stock | Feb 14, 2018 | M | 2,500 | $38.12 | A | 23,267 | D | |
| Common Stock | Feb 14, 2018 | F | 725 | $38.12 | D | 22,542 | D | |
| Common Stock | Feb 14, 2018 | M | 1,750 | $18.85 | A | 24,292 | D | |
| Common Stock | Feb 14, 2018 | F | 1,122 | $38.12 | D | 23,170 | D | |
| Common Stock | Feb 14, 2018 | M | 7,000 | $38.12 | A | 30,170 | D | |
| Common Stock | Feb 14, 2018 | F | 5,229 | $38.12 | D | 24,941 | D | |
| 401KF5 | holding | — | — | — | 1,821 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F7 | — | Feb 13, 2018 | M | 5,000 | D | — | — | Common Stock | 5,000 | 75,580 | D |
| Restricted Stock UnitsF6,F7 | — | Feb 14, 2018 | M | 2,500 | D | — | — | Common Stock | 2,500 | 73,080 | D |
| Stock Appreciation Rights (sars) | $18.85 | Feb 14, 2018 | M | 1,750 | D | Jan 25, 2013 | Jan 25, 2022 | Common Stock | 1,750 | 0 | D |
| Stock Appreciation Rights (sars) | $24.535 | Feb 14, 2018 | M | 7,000 | D | Jan 29, 2015 | Jan 29, 2024 | Common Stock | 7,000 | 0 | D |
Explanation of responses
- F1Common stock acquired upon the lapse of Table II Restricted Stock Units.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II Restricted Stock Units.
- F3Common stock acquired upon exercise of Stock Appreciation Rights (SARs).
- F4Shares utilized to pay for the cost of the SARS and for payment of the tax obligation on the SARS exercise.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F7Lapse of restricted stock units.
- F8Exercise of Stock Appreciation Rights (SARS)