SEC Form 4 · accession 0001562180-18-003923
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
Sep 10, 2018
Accepted (ET)
Sep 12, 2018 · 4:14 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 StockF2 | Sep 10, 2018 | S | 96,667 | $43.00 | D | 471,228 | D | |
| Common StockF3 | holding | — | — | — | 9,176 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 14,782 | I | JAH Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to Mr. Hayes' Rule 10b5-1 Stock Trading Plan that was entered into on February 20, 2018 with Crestone Securities LLC pursuant to instructions established on that date and as part of Mr. Hayes' individual tax and financial planning strategy related to the expiration of certain stock-settled appreciation rights, as previously disclosed on Form 8-K.
- F2This transaction was executed in multiple trades at prices ranging from $43.00 to $43.03. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4The reporting person expressly disclaims beneficial ownership of these securities.