Form: 3

Initial statement of beneficial ownership of securities

January 8, 2021

Documents

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Kaufman David A
(Last) (First) (Middle)
9200 W. 108TH CIRCLE
(Street)
WESTMINSTER CO 80021
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2021 		3. Issuer Name and Ticker or Trading Symbol
BALL Corp [ BLL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President, Ball Aerospace
 5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 4,623.5236 D
Common Stock 5.36 I 401(k) plan(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Compensation Company Stock Plan (2) (2) Common Stock 20,469.426 (3) D
Restricted Stock Units (4) (4) Common Stock 8,779 (4) D
Stock Appreciation Rights (sars) 02/04/2016 02/04/2025 Common Stock 8,204 33.075 D
Stock Appreciation RIghts (sars) 01/27/2017 01/27/2026 Common Stock 8,182 33.05 D
Stock Appreciation Rights (sars) 01/25/2018 01/25/2027 Common Stock 8,900 38.375 D
Stock Option (right to buy) 01/24/2019 01/24/2028 Common Stock 8,379 38.84 D
Stock Option (right to buy) 01/23/2020 01/23/2029 Common Stock 6,766 50.78 D
Stock Option (right to buy) 01/29/2021 01/29/2030 Common Stock 7,161 72.59 D
Explanation of Responses:
1. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
2. Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
3. 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.
4. Restricted Stock Units awarded under the Ball Corporation Stock and Cash Incentive Plan.
/s/ Charles E. Baker, attorney-in-fact for Mr. Kaufman 01/08/2021
** Signature of Reporting Person Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 5 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

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 Number.