144: Filing for proposed sale of securities under Rule 144
Published on May 13, 2013
UNITED STATES
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OMB APPROVAL
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SECURITIES AND EXCHANGE COMMISSION
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OMB Number: 3235-0101
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Washington, D.C. 20549
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Expires:March 31, 2011
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Estimated average burden
hours per response 2.00
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FORM 144
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SEC USE ONLY
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NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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DOCUMENT SEQUENCE NO.
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ATTENTION:Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.
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CUSIP NUMBER
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1 (a) NAME OF ISSUER (Please type or print)
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(b) IRS IDENT. NO.
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(c) S.E.C. FILE NO.
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WORK LOCATION
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Ball Corporation
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35-0160610
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1-7349
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE
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(e) TELEPHONE NO.
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AREA CODE
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NUMBER
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10 Longs Peak Drive BroomfieldCO 80021
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303
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460-2415
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
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(b) RELATIONSHIP TO ISSUER
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(d) ADDRESS STREET CITY STATE ZIP CODE
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Shawn M. Barker
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Officer
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4546 West 36th Avenue Denver CO 80212
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common
Stock
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E-Trade
1675 Broadway #150
Denver, CO 80202
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Up to 6,025
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$276,487.25
05/09/2013
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148,762,548
04/30/2013
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05/10/2013 to
05/31/2013
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NYSE
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Common
Stock
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Computershare Securities Corp.
118 Fernwood Ave.
Edison, NJ 08837
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Up to 650
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$29,828.50
05/09/2013
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148,762,548
04/30/2013
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05/10/2013 to
05/31/2013
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NYSE
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INSTRUCTIONS:
1.(a)Name of issuer
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3.(a)Title of the class of securities to be sold
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(b)Issuer’s I.R.S. Identification Number
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(b)Name and address of each broker through whom the securities are intended to be sold
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(c)Issuer’s S.E.C. file number, if any
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(c)Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
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(d)Issuer’s address, including zip code
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(d)Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
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(e)Issuer’s telephone number, including area code
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(e)Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
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2.(a)Name of person for whose account the securities are to be sold
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by the most recent report or statement published by the issuer
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(b)Such person’s relationship to the issuer (e.g., officer, director, 10%
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(f)Approximate date on which the securities are to be sold
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stockholder, or member of immediate family of any of the foregoing)
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(g)Name of each securities exchange, if any, on which the securities are intended to be sold
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(c)Such person’s address, including zip code
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Potential persons who are to respond to the collection of information contained in this form are not
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required to respond unless the form displays a currently valid OMB control number.
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SEC 1147 (01-04)
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TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of
the Class
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Date you Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of Securities Acquired
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Date of Payment
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Nature of Payment
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Common
Stock
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11/2009
02/2010
07/2010
08/2010
02/2011
01/2012
01/2013
03/2013
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RSU, ISO, SARs & DSP grants,
lapses & exercises; ESPp contributions
& purchases
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Issuer
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Up to 6,675
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05/10/2013
to
05/31/2013
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N/A
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INSTRUCTIONS:1.If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
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TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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None
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None
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REMARKS:
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as
to the person for whose account the securities are to be sold but also as to all other persons included
in that definition. In addition, information shall be given as to sales by all persons whose sales are
required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this
notice.
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ATTENTION: The person for whose account the securities to which this notice relates are to be sold
hereby represents by signing this notice that he does not know any material adverse information in regard to
the current and prospective operations of the Issuer of the securities to be sold which has not been publicly
disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule
10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the
instruction given, that person makes such representation as of the plan adoption or instruction date.
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May 10, 2013 /s/ Shawn M. Barker
DATE OF NOTICE (SIGNATURE)
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.
IF RELYING ON RULE 10B5-1.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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SEC 1147 (01-04)