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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Rights (sars) | $ 45.93 | 01/30/2013 | A(5) | 182,400 | 01/30/2014 | 01/30/2023 | Common Stock | 182,400 | $ 0 | 182,400 | D | ||||
Restricted Stock Units | (6) | 01/30/2013 | A(7) | 42,000 | (7) | (7) | Common Stock | 42,000 | $ 45.93 | 232,230 | D | ||||
Restricted Stock Units | (6) | 01/31/2013 | J(8) | 58,000 | (8) | (8) | Common Stock | 58,000 | $ 44.52 | 174,230 | D | ||||
Deferred Compensation Company Stock Plan | (9) | 01/31/2013 | J(10) | 56,191.2363 | (11) | (11) | Common Stock | 56,191.2363 | $ 44.52 | 151,460.7967 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAYES JOHN A BALL CORPORATION 10 LONGS PEAK DR. BROOMFIELD, CO 80021-2510 |
X | PRESIDENT & C.E.O. BALL CORP. |
/s/ Robert W. McClelland, attorney-in-fact for Mr. Hayes | 02/01/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Common stock acquired upon the lapse of Table II Restricted Stock Units. |
(2) | Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units. |
(3) | Due to expiration of the ESOP feature of the Ball Corporation Salary Conversion and Employee Stock Ownership Plan, the Corporation distributed final, unallocated balance of shares into the reporting person's 401(k) Plan Ball Common Stock Fund. |
(4) | The reporting person expressly disclaims beneficial ownership of these securities. |
(5) | SARs (Stock Appreciation Rights) granted under the Ball Corporation Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
(7) | Receipt of performance contingent restricted stock unit award under the Ball Corporation Stock and Cash Incentive Plan, which vests in three years upon the attainment of the performance criteria. |
(8) | Lapse of restricted stock units. |
(9) | Each 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. |
(10) | Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria. Units deferred to the Deferred Compensation Company Stock Plan and may include company match. |
(11) | Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan. |