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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) | $ 10.02 | 09/14/2018 | M(6) | 5,266 | 01/28/2010 | 01/28/2019 | Common Stock | 5,266 | $ 0 | 15,798 | D | ||||
Restricted Stock Units | (7) | 09/15/2018 | M | 6,000 | (8) | (8) | Common Stock | 6,000 | $ 0 | 92,810 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MORRISON SCOTT C BALL CORPORATION 10 LONGS PEAK DR. BROOMFIELD, CO 80021-2510 |
SR. V.P. and C.F.O. |
/s/ Charles E. Baker, attorney-in-fact for Mr. Morrison | 09/18/2018 | |
**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 exercise of Stock Appreciation Rights (SARS). |
(2) | Shares withheld to pay for the cost of the SARS and for the payment of the tax obligation on the exercise of the SARS. |
(3) | Common stock acquired upon the lapse of Table II Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan. |
(4) | Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units. |
(5) | Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. |
(6) | Exercise of Stock Appreciation Rights (SARS) in accordance with reporting person's November 7, 2017 10b5-1 Plan. |
(7) | Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
(8) | Lapse of restricted stock units. |