3: Initial statement of beneficial ownership of securities
Published on January 8, 2010
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/01/2010 |
3. Issuer Name and Ticker or Trading Symbol
BALL CORP [ BLL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| 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 | 19.074 | I | 401(k) Plan(1) |
| Common Stock | 729.4326 | D |
| 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 | ||||
| 2005 Deferred Compensation Company Stock Plan | (2) | (2) | Common Stock | 271.4663 | (3) | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 7,350 | (4) | D | |
| Stock Appreciation Rights (sars) | 04/25/2008(5) | 04/25/2017 | Common Stock | 1,500 | 49.32 | D | |
| Stock Appreciation Rights (sars) | 04/23/2009(5) | 04/23/2018 | Common Stock | 3,000 | 50.11 | D | |
| Stock Appreciation Rights (sars) | 01/28/2010(5) | 01/28/2019 | Common Stock | 5,000 | 40.08 | D | |
| Stock Option (iso) (Right to Buy) | 04/25/2008(5) | 04/25/2017 | Common Stock | 1,125 | 49.32 | D | |
| Stock Option (iso) (Right to Buy) | 04/23/2009(5) | 04/23/2018 | Common Stock | 3,000 | 50.11 | D | |
| Stock Option (iso) (Right to Buy) | 01/28/2010(5) | 01/28/2019 | Common Stock | 4,000 | 40.08 | D | |
| Employee Stock Option (Right to Buy) | 04/26/2007(5) | 04/26/2016 | Common Stock | 1,200 | 43.69 | D | |
| Explanation of Responses: |
| 1. Total number of 401(k) Plan shares includes 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 2005 Stock and Cash Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
| 5. Shares are exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant. |
| Remarks: |
| Power of Attorney is attached. |
| /s/ Charles E. Baker, attorney-in-fact for Mr. Barker | 01/08/2010 | |
| ** 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.