SEC Form 4 · accession 0001562180-18-003965
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles E Baker
Officer — VP,GEN COUNSEL & CORP SEC
Period of report
Sep 15, 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 15, 2018 | M | 4,800 | $44.14 | A | 205,479 | D | |
| Common Stock | Sep 15, 2018 | F | 2,086 | $44.14 | D | 203,393 | D | |
| Common StockF3 | holding | — | — | — | 5,739 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 800 | I | By Daughter | |
| Common Stock | holding | — | — | — | 1,280 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | Sep 15, 2018 | M | 4,800 | D | — | — | Common Stock | 4,800 | 57,429 | D |
Explanation of responses
- F1Common 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.
- F2Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II Performance Contingent Restricted Stock.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F4Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
- F5Lapse of restricted stock units.