SEC Form 4 · accession 0001127602-18-011647
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Mar 14, 2018
Accepted (ET)
Mar 15, 2018 · 11:44 am 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 14, 2018 | M | 189,800 | $12.528 | A | 1,009,043 | I | RDH Trust |
| Common Stock | Mar 14, 2018 | F | 116,011 | $40.94 | D | 893,032 | 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 14, 2018 | M | 189,800 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 189,800 | 200,000 | 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.
- F3Exercise of Stock Appreciation Rights (SARs).