SEC Form 4 · accession 0001562180-18-005037
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
Dec 17, 2018
Accepted (ET)
Dec 19, 2018 · 2:57 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 | Dec 17, 2018 | J | 16 | $46.65 | A | 150,724 | D | |
| Common StockF2 | holding | — | — | — | 6,124 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Compensation Company Stock PlanF3,F5 | — | Dec 17, 2018 | J | 370 | A | — | — | Common Stock | 370 | 172,857 | D |
Explanation of responses
- F1Dividend reinvestment in Ball Corporation's 2000 Deferred Compensation Company Stock Plan.
- F2Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F3Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan.
- F4Dividend reinvestment in Ball Corporation's Deferred Compensation Company Stock Plan.
- F5Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.