SEC Form 4 · accession 0001562180-18-003460
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Hayes
Officer — CHAIRMAN, PRESIDENT & C.E.O. · Director
Period of report
Aug 1, 2018
Accepted (ET)
Aug 2, 2018 · 4:08 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 | Aug 1, 2018 | M | 33,272 | $10.02 | A | 559,718 | D | |
| Common StockF3 | Aug 1, 2018 | F | 19,382 | $39.33 | D | 540,336 | D | |
| Common StockF4 | holding | — | — | — | 9,176 | I | 401(k) Plan | |
| Common StockF5 | holding | — | — | — | 14,782 | I | JAH Irrevocable Trust |
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) | $10.02 | Aug 1, 2018 | M | 33,272 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 33,272 | 166,368 | 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 a clerical error, the beneficial holding balance reported on the previous filing was incorrect. This balance now reflects the correct beneficial holding amount.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5The reporting person expressly disclaims beneficial ownership of these securities.
- F6Exercise of Stock Appreciation Rights (SARS) pursuant to reporting person's February 20, 2018, 10b5-1 Plan.