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BALL Corp — Director's Dealing 2013
Feb 1, 2013
30458_dirs_2013-02-01_0b9ce71c-158b-4cf1-b923-982bc28a8e2f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BALL CORP (BLL)
CIK: 0000009389
Period of Report: 2013-01-30
Reporting Person: Pauley Lisa Ann (SR VP, HR & Administration)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-01-31 | Common Stock | J | 5200 | $44.52 | Acquired | 38201.5337 | Direct |
| 2013-01-31 | Common Stock | F | 1751 | $44.52 | Disposed | 36450.5337 | Direct |
| 2013-01-31 | Common Stock | J | 9300 | $44.52 | Acquired | 143426.473 | Indirect |
| 2013-01-31 | Common Stock | F | 3054 | $44.52 | Disposed | 140372.473 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-01-30 | Stock Appreciation Rights (sars) | $45.93 | A | 20500 | Acquired | 2023-01-30 | Common Stock (20500) | Direct |
| 2013-01-30 | Stock Appreciation Rights (sars) | $45.93 | A | 6300 | Acquired | 2023-01-30 | Common Stock (6300) | Indirect |
| 2013-01-30 | Restricted Stock Units | $ | A | 4700 | Acquired | Common Stock (4700) | Direct | |
| 2013-01-30 | Restricted Stock Units | $ | A | 1450 | Acquired | Common Stock (1450) | Indirect | |
| 2013-01-31 | Restricted Stock Units | $ | J | 5200 | Disposed | Common Stock (5200) | Direct | |
| 2013-01-31 | Restricted Stock Units | $ | J | 9300 | Disposed | Common Stock (9300) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2204.44 | Indirect |
Footnotes
F1: Common stock acquired upon the lapse of Table II Restricted Stock Units.
F2: Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
F3: The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
F4: Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
F5: Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
F6: Receipt of performance contingent restricted stock unit grant under the Ball Corporation Stock and Cash Incentive Plan, which vests in three years upon the attainment of the performance criteria.
F7: Lapse of restricted stock units.