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BALL Corp — Director's Dealing 2017
Sep 18, 2017
30458_dirs_2017-09-18_09db0b9a-0f16-4e32-a964-8351e9766da9.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: 2017-09-15
Reporting Person: Pauley Lisa Ann (SR VP, HR & Administration)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-09-15 | Common Stock | M | 49600 | $18.85 | Acquired | 345036.4584 | Indirect |
| 2017-09-15 | Common Stock | F | 35427 | $40.53 | Disposed | 309609.4584 | Indirect |
| 2017-09-15 | Common Stock | M | 12600 | $22.965 | Acquired | 322209.4584 | Indirect |
| 2017-09-15 | Common Stock | F | 9683 | $40.53 | Disposed | 312526.4584 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-09-15 | Stock Appreciation Rights (sars) | $18.85 | M | 49600 | Disposed | 2022-01-25 | Common Stock (49600) | Indirect |
| 2017-09-15 | Stock Appreciation Rights (sars) | $22.965 | M | 12600 | Disposed | 2023-01-30 | Common Stock (12600) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6013.033 | Indirect |
| Common Stock | 108904.5612 | Direct |
Footnotes
F1: Common stock acquired from exercise of Stock Appreciation Rights (SARs).
F2: The reporting person expressly disclaims beneficial ownership of the securities owned by Spouse.
F3: Shares utilized to pay for the cost of the Stock Appreciation Rights (SARs) and for the payment of the tax obligation on the exercise of the SARs.
F4: Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
F5: Exercise of Stock Appreciation Rights (SARS) in accordance with Reporting Person's Spouse's 10b5-1 Plan.