4: Statement of changes in beneficial ownership of securities
Published on February 6, 2015
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) 02/04/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
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 | 02/04/2015 | J(1) | 1,750 | A | $66.15 | 21,724.8061 | D | |||
Common Stock | 02/04/2015 | F(2) | 623 | D | $66.15 | 21,101.8061 | D | |||
Common Stock | 1,244.66 | I | 401K(3) |
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 | ||||||||
Restricted Stock Units | (4) | 02/04/2015 | J(5) | 3,500 | (5) | (5) | Common Stock | 3,500 | $66.15 | 9,312 | D | ||||
Deferred Compensation Company Stock Plan | (6) | 02/04/2015 | J(5) | 2,052.3432 | (7) | (7) | Common Stock | 2,052.3432 | $66.15 | 12,620.94 | D | ||||
Restricted Stock Units | (4) | 02/04/2015 | A(8) | 6,901 | (8) | (8) | Common Stock | 6,901 | $66.15 | 16,213 | D | ||||
Stock Appreciation Rights (sars) | $66.15 | 02/04/2015 | A(9) | 1,481 | 02/04/2016 | 02/04/2025 | Common Stock | 1,481 | $0 | 1,481 | D |
Explanation of Responses: |
1. Common stock acquired upon the lapse of Table II Restricted Stock Units. |
2. Shares withheld for the payment of the tax obligation of the lapse of restrictions on Table II Restricted Stock Units. |
3. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. |
4. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
5. Lapse of restricted stock units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match. |
6. 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. |
7. Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan. |
8. Restricted Stock Units awarded under the Ball Corporation Stock and Cash incentive Plan. |
9. SARS (Stock Appreciation Rights) granted under the Ball Corporation Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant. |
/s/ Janice L. Rodriguez, attorney-in-fact for Mr. Knobel | 02/06/2015 | |
** 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.