SEC Form 4/A · accession 0001127602-18-011829
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 13, 2018
Accepted (ET)
Mar 16, 2018 · 4:22 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 13, 2018 | M | 100,000 | $12.528 | A | 919,243 | I | RDH Trust |
| Common Stock | Mar 13, 2018 | F | 60,843 | $41.62 | D | 858,400 | I | RDH Trust |
| Common Stock | Mar 14, 2018 | M | 89,800 | $12.528 | A | 948,200 | I | RDH Trust |
| Common Stock | Mar 14, 2018 | F | 54,889 | $40.94 | D | 893,311 | 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 13, 2018 | M | 100,000 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 100,000 | 289,800 | D |
| Stock Appreciation Rights (sars) | $12.5275 | Mar 14, 2018 | M | 89,800 | D | Apr 23, 2009 | Apr 23, 2018 | Common Stock | 89,800 | 200,000 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARs).
- F2Due to an administrative error, two transactions were combined into one transaction for 189,800 shares, and should have been two transactions for 100,000 shares and 89,800 shares. Correcting entries.
- 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.
- F4Exercise of Stock Appreciation Rights (SARs).