-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MxbPt6nMQ55Y9wnhR0OTeA+OEM49tMjfRyRSvJuKxhOIm6kkGC5ASK/0vc8JGSmE T96xHaW7q0O0/0rZ7APYZA== 0000009389-03-000217.txt : 20030923 0000009389-03-000217.hdr.sgml : 20030923 20030923202538 ACCESSION NUMBER: 0000009389-03-000217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030923 FILED AS OF DATE: 20030923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOOVER R DAVID CENTRAL INDEX KEY: 0001186033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07349 FILM NUMBER: 03906866 MAIL ADDRESS: STREET 1: C/O BALL CORPORATIO STREET 2: 10 LONGS PEAK DRIVE CITY: BROOMFIELD STATE: CO ZIP: 80021-2510 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BALL CORP CENTRAL INDEX KEY: 0000009389 STANDARD INDUSTRIAL CLASSIFICATION: METAL CANS [3411] IRS NUMBER: 350160610 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10 LONGS PEAK DRIVE CITY: BROOMFIELD STATE: CO ZIP: 80021-2510 BUSINESS PHONE: 3034695511 MAIL ADDRESS: STREET 1: PO BOX 5000 CITY: BROOMFIELD STATE: CO ZIP: 80038-5000 FORMER COMPANY: FORMER CONFORMED NAME: BALL BROTHERS CO DATE OF NAME CHANGE: 19731115 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2003-09-23 0 0000009389 BALL CORP BLL 0001186033 HOOVER R DAVID C/O BALL CORPORATIO 10 LONGS PEAK DRIVE BROOMFIELD CO 80021-2510 1 1 0 0 CHAIRMAN, PRESIDENT & CEO Prepaid Variable Forward Contract 2003-09-23 4 J 0 40000 A 2006-09-22 2006-09-22 Common Stock 40000 40000 I by trust On 9-23-03, the Suzanne A. Hoover Revocable Trust dated 1-30-97 (the Trust) entered into a prepaid variable forward contract (Contract) with a broker/dealer (Buyer) for the disposition by the Trust of between 33,333 & 40,000 shares of Ball Corp. Common Stock (Ball Shares). The Contract obligates the Trust to deliver to Buyer on 9-22-06 (Settlement Date), a number of Ball Shares equal to $2,161,600 (currently 40,000 shares @$54.04). In exchange, the Trust initially receives 83.99% of $2,161,600. Per the Contract, on the Settlement Date the Trust receives up to 120% of the $54.04 per share price (Ceiling Price) if Ball Shares appreciate above $54.04 per share (Floor Price). The number of shares to be sold by the Trust will be between 33,333 & 40,000 Ball Shares & will depend on whether the Ceiling Price is above the Floor Price. At the Trust's option, it may deliver cash in an amount equivalent to the value of the required number of Ball Shares to be delivered on the Settl ement Date. The reporting person expressly disclaims beneficial ownership of these securities; 40,000 of these shares are committed for use in a prepaid variable forward contract dated 9-23-03. Direct Ownership of Common Stock as of 9-23-03 173,552 shares; Indirect Ownership of Common Stock as of 9-23-03 1,120 shares (401(k) plan} and 134,473 shares (by trust). 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. By: Donald C. Lewis, VP, AsstCorpSec&GenCoun For: R. David Hoover 2003-09-23 -----END PRIVACY-ENHANCED MESSAGE-----