SEC Form 4 · accession 0001562180-19-001366
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D Strain
Officer — Sr. VP BallCorp & Pres. BATC
Period of report
Feb 21, 2019
Accepted (ET)
Feb 25, 2019 · 4:33 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 21, 2019 | M | 12,400 | $22.965 | A | 47,747 | D | |
| Common Stock | Feb 21, 2019 | F | 7,334 | $54.48 | D | 40,413 | D | |
| Common StockF3 | Feb 25, 2019 | S | 5,066 | $54.93 | D | 35,347 | D | |
| Common StockF4 | holding | — | — | — | 2,031 | I | 401(k) |
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) | $22.965 | Feb 21, 2019 | M | 12,400 | D | Jan 30, 2014 | Jan 30, 2023 | Common Stock | 12,400 | 0 | D |
| Deferred Compensation Company Stock PlanF5,F7 | — | Feb 22, 2019 | J | 2,175 | A | — | — | Common Stock | 2,175 | 47,710 | D |
Explanation of responses
- F1Common stock acquired upon the exercise of Stock Appreciation Rights (SARS).
- F2Shares withheld to pay for the cost of the SARS and for the payment of the tax obligation on the exercise of the SARS.
- F3This transaction was executed in multiple trades at prices ranging from $54.91 to $54.945. 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.
- F4Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F5Each 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.
- F6Incentive compensation deferral into the Deferred Compensation Company Stock Plan and may include company match.
- F7Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.