SEC Form 4 · accession 0001562180-18-004480
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Ann Pauley
Officer — SR VP, HR & Administration
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 8:45 am EST
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 | Nov 8, 2018 | M | 8,400 | $10.02 | A | 130,663 | D | |
| Common Stock | Nov 8, 2018 | F | 1,728 | $48.72 | D | 128,935 | D | |
| Common Stock | Nov 8, 2018 | M | 47,600 | $10.02 | A | 176,535 | D | |
| Common Stock | Nov 8, 2018 | F | 25,827 | $48.72 | D | 150,708 | D | |
| Common StockF5 | holding | — | — | — | 6,111 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 283,476 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to buy)F7 | $10.02 | Nov 8, 2018 | M | 8,400 | D | — | Jan 28, 2019 | Common Stock | 8,400 | 0 | D |
| Stock Appreciation Rights (sars) | $10.02 | Nov 8, 2018 | M | 47,600 | D | Jan 28, 2010 | Jan 28, 2019 | Common Stock | 47,600 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Incentive Stock Options (ISOs).
- F2Shares swapped to pay for the cost of the ISOs.
- F3Common stock acquired from exercise of Stock Appreciation Rights (SARs).
- F4Shares utilized to pay for the cost of the Stock Appreciation Rights (SARs) and for the payment of the tax obligation on the exercise of the SARs.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6Exercise of Incentive Stock Options (ISOs).
- F7Shares vest in four equal installments annually upon the first anniversary of the date of the grant of the Incentive Stock Option (ISO).
- F8Exercise of Stock Appreciation Rights (SARS).