SEC Form 4 · accession 0001127602-18-010876
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
R David Hoover
Director
Period of report
Mar 7, 2018
Accepted (ET)
Mar 9, 2018 · 12:14 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 | Mar 7, 2018 | M | 100,000 | $25.055 | A | 876,826 | I | RDH Trust |
| Common Stock | Mar 7, 2018 | F | 57,730 | $41.02 | D | 819,096 | I | RDH Trust |
| Common Stock | Mar 8, 2018 | M | 2,200 | $25.055 | A | 194,594 | D | |
| Common Stock | Mar 8, 2018 | S | 2,200 | $40.71 | D | 192,394 | D | |
| Common Stock | holding | — | — | — | 0 | I | By GRAT | |
| Common StockF4 | holding | — | — | — | 0 | I | SAH Trust |
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) | $12.5275 | Mar 7, 2018 | M | 100,000 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 100,000 | 389,800 | D |
| Stock Option (iso) (Right to Buy)F7 | $12.5275 | Mar 8, 2018 | M | 2,200 | D | — | Apr 23, 2018 | Common Stock | 2,200 | 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 payment of the tax obligation on the exercise of the Table II SARs.
- F3Common stock acquired from the exercise of Incentive Stock Options (ISOs).
- F4The reporting person expressly disclaims beneficial ownership of these securities.
- F5Exercise of Stock Appreciation Rights (SARs).
- F6Exercise of Incentive Stock Options (ISOs).
- F7Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the Incentive Stock Option.