4: Statement of changes in beneficial ownership of securities
Published on February 15, 2024
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIPFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
||||||||||||||
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
BALL Corp [ BALL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 02/15/2024 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
|||||||||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 10,124.1274 | D(1) | ||||||||
| Common Stock | 5.563 | I(1) | 401(k) Plan(2) | |||||||
| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Deferred Compensation Company Stock Plan | (3) | (4) | (4) | Common Stock | 22,011.8399 | 22,011.8399 | D(1) | ||||||||
| Restricted Stock Units | (5) | (5) | (5) | Common Stock | 13,190 | 13,190 | D(1) | ||||||||
| Restricted Stock Units | (6) | (6) | (6) | Common Stock | 4,900 | 4,900 | D(1) | ||||||||
| Stock Appreciation Rights (sars) | $38.375 | 01/25/2018 | 01/25/2027 | Common Stock | 8,680 | 8,680 | D(1) | ||||||||
| Stock Option (Right to Buy) | $38.84 | 01/24/2019 | 01/24/2028 | Common Stock | 8,379 | 8,379 | D(1) | ||||||||
| Stock Option (Right to Buy) | $50.78 | 01/23/2020 | 01/23/2029 | Common Stock | 6,766 | 6,766 | D(1) | ||||||||
| Stock Option (Right to Buy) | $72.59 | 01/29/2021 | 01/29/2030 | Common Stock | 7,161 | 7,161 | D(1) | ||||||||
| Stock Option (Right to Buy) | $85.33 | 01/27/2022 | 01/27/2031 | Common Stock | 13,131 | 13,131 | D(1) | ||||||||
| Stock Option (Right to Buy) | $86.57 | 01/26/2023 | 01/26/2032 | Common Stock | 12,933 | 12,933 | D(1) | ||||||||
| Stock Option (Right to Buy) | $56.64 | 01/25/2024 | 01/25/2033 | Common Stock | 16,519 | 16,519 | D(1) | ||||||||
| Stock Option (Right to Buy) | $55.87 | 01/24/2025 | 01/24/2034 | Common Stock | 15,530 | 15,530 | D(1) | ||||||||
| Explanation of Responses: |
| 1. The securities included herein represent only those securities that are required to be disclosed pursuant to Section 16(a) of the Securities Exchange Act of 1934 in connection with the specific transaction(s) reported herein. The reporting person is the beneficial owner of additional shares and/or derivative securities of the issuer that are not disclosed on this Form 4. For additional information regarding the reporting person's ownership of issuer securities, refer to Forms 4 previously filed by the reporting person. |
| 2. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. |
| 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. Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the plan. |
| 5. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
| 6. Each restricted stock unit granted under the Deposit Share Program represents a contingent opportunity to receive one share of Ball Corporation Common Stock. |
| /s/ Hannah Lim-Johnson, attorney-in-fact for Mr. Kaufman | 02/15/2024 | |
| ** 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 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).
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.