SEC Form 4 · accession 0001562180-18-003964
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
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 4:26 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 | Sep 14, 2018 | M | 5,266 | $10.02 | A | 418,186 | D | |
| Common Stock | Sep 14, 2018 | F | 2,986 | $44.14 | D | 415,200 | D | |
| Common Stock | Sep 15, 2018 | M | 6,000 | $44.14 | A | 421,200 | D | |
| Common Stock | Sep 15, 2018 | F | 2,639 | $44.14 | D | 418,561 | D | |
| Common StockF5 | holding | — | — | — | 8,291 | 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 | Sep 14, 2018 | M | 5,266 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 5,266 | 15,798 | D |
| Restricted Stock UnitsF7,F8 | — | Sep 15, 2018 | M | 6,000 | D | — | — | Common Stock | 6,000 | 92,810 | 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.
- F3Common stock acquired upon the lapse of Table II Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
- F4Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6Exercise of Stock Appreciation Rights (SARS) in accordance with reporting person's November 7, 2017 10b5-1 Plan.
- F7Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F8Lapse of restricted stock units.