SEC Form 4 · accession 0001562180-19-000851
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
Feb 6, 2019
Accepted (ET)
Feb 8, 2019 · 4:21 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 | Feb 6, 2019 | M | 32,000 | $12.613 | A | 459,336 | D | |
| Common Stock | Feb 6, 2019 | F | 18,323 | $53.21 | D | 441,013 | D | |
| Common StockF2 | Feb 7, 2019 | S | 13,677 | $53.01 | D | 427,336 | D | |
| Common Stock | holding | — | — | — | 100 | I | By Son | |
| Common StockF3 | holding | — | — | — | 8,329 | I | 401(k) Plan |
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 | Feb 6, 2019 | M | 32,000 | D | Jan 27, 2011 | Jan 27, 2020 | Common Stock | 32,000 | 32,400 | D |
Explanation of responses
- F1Shares withheld to pay for the cost of the SARS and for the payment of the tax obligation on the exercise of the SARS.
- F2This transaction was executed in multiple trades at prices ranging from $52.98 to $53,05. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.