SEC Form 4 · accession 0001562180-18-003657
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Morrison
Officer — SR. V.P. and C.F.O.
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 12:06 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 15, 2018 | M | 5,267 | $10.02 | A | 415,960 | D | |
| Common Stock | Aug 15, 2018 | F | 3,054 | $40.11 | D | 412,906 | D | |
| Common StockF3 | holding | — | — | — | 8,269 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 100 | I | By Son |
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 15, 2018 | M | 5,267 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 5,267 | 21,064 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld to pay for the cost of the SARS and for the payment of the tax obligation on the exercise of the SARS.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Exercise of Stock Appreciation Rights (SARS) in accordance with reporting person's November 7, 2017 10b5-1 Plan.