SEC Form 4/A · accession 0001127602-18-011426
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
R David Hoover
Director
Period of report
Mar 7, 2018
Accepted (ET)
Mar 13, 2018 · 5:41 pm EDT
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 | 57,583 | $41.02 | D | 819,243 | I | RDH Trust |
| Common Stock | holding | — | — | — | 192,394 | 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) | $12.5275 | Mar 7, 2018 | M | 100,000 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 100,000 | 389,800 | 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.
- F3Due to an administrative error, the number of withheld shares was shown as 57,730 instead of 57,583. Correcting entry.
- F4Exercise of Stock Appreciation Rights (SARs).