SEC Form 4 · accession 0001562180-18-004604
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
Nov 15, 2018
Accepted (ET)
Nov 19, 2018 · 4:02 pm 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 15, 2018 | M | 24,000 | $12.613 | A | 244,112 | D | |
| Common Stock | Nov 15, 2018 | F | 13,914 | $50.50 | D | 230,198 | D | |
| Common Stock | Nov 16, 2018 | S | 16,647 | $50.50 | D | 213,551 | D | |
| Common StockF3 | holding | — | — | — | 5,854 | I | 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 800 | I | By Daughter |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right (sars) | $12.613 | Nov 15, 2018 | M | 24,000 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1Common stock acquired from exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld for the cost of the Stock Appreciation Rights (SARS) and for payment of the tax obligation on the exercise of the Table II SARS.
- 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.
- F5Exercise of Stock Appreciation rights (SARS).