SEC Form 4 · accession 0001127602-18-015214
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Hoover
Director
Period of report
Apr 25, 2018
Accepted (ET)
Apr 25, 2018 · 10:41 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 | holding | — | — | — | 192,811 | D | ||
| Common Stock | holding | — | — | — | 971,090 | I | RDH Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF1,F2 | — | holding | — | — | — | — | — | Common Stock | 11,152 | 11,152 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Common Stock | 38,542 | 38,542 | D |
| Stock Appreciation Rights (sars) | $10.02 | holding | — | — | — | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 800,000 | 800,000 | D |
| Stock Appreciation Rights (sars) | $12.6125 | holding | — | — | — | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 516,400 | 516,400 | D |
| Stock Option (iso) (Right to Buy) | $12.6125 | holding | — | — | — | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 13,600 | 13,600 | D |
Explanation of responses
- F1Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F2Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F3Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.