4/A: Statement of changes in beneficial ownership of securities
Published on September 29, 2006
| 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 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BALL CORP [ BLL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/22/2006 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) 09/26/2006 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| 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) | |||
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| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 09/22/2006(1) | J(1) | 69,288(1) | D | (1) | 250,225 | I | By trust(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) | ||||
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Prepaid Variable Forward Contract | (1) | 09/22/2006 | J(1) | 80,000(1) | (1) | 09/22/2006 | Common Stock | 80,000(1) | (1) | 0 | I | by trust(2) | |||
| Explanation of Responses: |
| 1. On 9-23-03, the Suzanne A. Hoover Revocable Trust of 1-30-97 as amended and restated 7-11-03 finalized a prepaid variable forward contract (Contract) with a broker dealer (Buyer) relating to its disposition of between 33,333 and 40,000 shares of Ball Common Stock (Ball Shares). The Contract obligated the Trust to deliver to the Buyer on 9-22-06 (Settlement Date), a number of Ball Shares equal to $2,161,600 (40,000 Ball Shares @ 54.04 each). In exchange, the Trust received 83.99% of $2,161,600. The Contract provided, based on the price of Ball Shares on Settlement Date, that the Trust could receive 120% of the 54.04 per share (Floor Price) up to a maximum of 64.848 per share. This transaction was disclosed on a Form 4 filing with the SEC on 9-23-03 (pre- 8-23-04 stock split). The Contract matured on 9-22-06 and was settled in accordance with its terms through delivery by the Trust of 69,288 Ball Shares (post-split) to the Buyer. |
| 2. The reporting person expressly disclaims beneficial ownership of these securities. Total number of Common Shares directly owned includes shares acquired through participation in the Ball Corporation Employee Stock Purchase Plan. Total number of 401(k) Plan shares includes shares acquired through periodic dividend reinvestment and employer matching contributions. |
| Remarks: |
| Amending original Form 4 filed 09-26-06 to reflect the correct number of securities disposed by the trust reflected in Table I. |
| /s/ Charles E. Baker | 09/29/2006 | |
| ** 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.