SEC Form 4 · accession 0001562180-18-003459
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Peterson
Officer — SVP & COO Global MF & HHP Pkg
Period of report
Aug 1, 2018
Accepted (ET)
Aug 2, 2018 · 2:35 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 | holding | — | — | — | 48,392 | D | ||
| Common StockF1 | holding | — | — | — | 143 | I | 401(k) Plan |
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 PlanF2,F3 | — | holding | — | — | — | — | — | Common Stock | 51,359 | 51,359 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 46,897 | 46,897 | D |
| Stock Appreciation Rights (sars) | $38.375 | holding | — | — | — | Jan 25, 2018 | Jan 25, 2027 | Common Stock | 28,104 | 28,104 | D |
| Stock Appreciation Rights (sars) | $33.075 | holding | — | — | — | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 14,648 | 14,648 | D |
| Stock Appreciation Rights (sars) | $33.05 | holding | — | — | — | Jan 27, 2017 | Jan 27, 2026 | Common Stock | 23,684 | 23,684 | D |
| Stock Appreciation Rights (sars) | $24.535 | holding | — | — | — | Jan 29, 2015 | Jan 29, 2024 | Common Stock | 17,600 | 17,600 | D |
| Stock Appreciation Rights (sars) | $22.965 | holding | — | — | — | Jan 30, 2014 | Jan 30, 2023 | Common Stock | 17,200 | 17,200 | D |
| Stock Appreciation Rights (sars) | $18.85 | holding | — | — | — | Jan 25, 2013 | Jan 25, 2022 | Common Stock | 23,000 | 23,000 | D |
| Stock Option (Right to Buy) | $38.84 | holding | — | — | — | Jan 24, 2019 | Jan 24, 2028 | Common Stock | 30,871 | 30,871 | D |
| Stock Options (Right to buy) | $18.85 | holding | — | — | — | Jan 25, 2013 | Jan 25, 2022 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F2Each 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.
- F3Stock Units in the Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
Remarks
Reporting Person is no longer subject to Section 16.