SEC Form 4 · accession 0001562180-19-001870
BALL Corp · BALL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nate C Carey
Officer — Vice President & Controller
Period of report
Mar 11, 2019
Accepted (ET)
Mar 12, 2019 · 4:07 pm EDT
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 | Mar 11, 2019 | M | 6,800 | $33.075 | A | 16,336 | D | |
| Common Stock | Mar 11, 2019 | F | 4,967 | $55.60 | D | 11,369 | D | |
| Common StockF3 | Mar 11, 2019 | S | 1,100 | $55.60 | D | 10,269 | D | |
| Common StockF4 | Mar 11, 2019 | S | 800 | $55.57 | D | 9,469 | D | |
| 401KF5 | holding | — | — | — | 665 | D |
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) | $33.075 | Mar 11, 2019 | M | 6,800 | D | Feb 4, 2016 | Feb 4, 2025 | Common Stock | 6,800 | 0 | D |
Explanation of responses
- F1Common stock acquired upon exercise of Non-Qualified Stock Options (NQs).
- F2Shares withheld for the cost of the Non-Qualified Stock Options (NQs) and for payment of the tax obligation on the exercise of the Table II NQs.
- F3This transaction was executed in multiple trades at prices ranging from $55.60 to $55.605 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.
- F4This transaction was executed in multiple trades at prices ranging from $55.57 to $55.575. 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.
- F5Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
- F6Exercise of Non-Qualified Stock Options (NQs).