0000009389-20-000057.txt : 20201209 0000009389-20-000057.hdr.sgml : 20201209 20201209190950 ACCESSION NUMBER: 0000009389-20-000057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201207 FILED AS OF DATE: 20201209 DATE AS OF CHANGE: 20201209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAYES JOHN A CENTRAL INDEX KEY: 0001205943 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07349 FILM NUMBER: 201379018 MAIL ADDRESS: STREET 1: C/O BALL CORP STREET 2: 10 LONGS PEAK DR 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: 9200 W. 108TH CIRCLE CITY: WESTMINSTER STATE: CO ZIP: 80021 BUSINESS PHONE: 3034695511 MAIL ADDRESS: STREET 1: 9200 W. 108TH CIRCLE CITY: WESTMINSTER STATE: CO ZIP: 80021 FORMER COMPANY: FORMER CONFORMED NAME: BALL CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: BALL BROTHERS CO DATE OF NAME CHANGE: 19731115 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-12-07 0000009389 BALL Corp BLL 0001205943 HAYES JOHN A 9200 W. 108TH CIRCLE WESTMINSTER CO 80021 1 1 0 0 Chairman, President & C.E.O. Common Stock 2020-12-07 4 M 0 418400 18.85 A 983179.0169 D Common Stock 2020-12-07 4 F 0 230277 95.5 D 752902.0169 D Common Stock 2020-12-09 4 S 0 31412 93.7172 D 721490.0169 D Common Stock 2020-12-09 4 S 0 34077 94.774 D 687413.0169 D Common Stock 2020-12-09 4 S 0 28573 95.6351 D 658840.0169 D Common Stock 9385.46 I 401(k) Plan Stock Appreciation Rights (sars) 18.85 2020-12-07 4 M 0 418400 0 D 2013-01-25 2022-01-25 Common Stock 418400 0 D Common stock acquired upon the exercise of Stock Appreciation Rights (SARS). The securities included herein represent only those securities that are required to be disclosed pursuant to Section 16(a) of the Securities Exchange Act of 1934 in connection with the specific transaction(s) reported herein. The reporting person is the beneficial owner of additional shares and/or derivative securities of the issuer that are not disclosed on this Form 4. For additional information regarding the reporting person's ownership of issuer securities, refer to Forms 4 previously filed by the reporting person and the Compensation Discussion & Analysis section of the issuer's 2020 Proxy Statement. Shares withheld for the cost of the Stock Appreciation Rights (SARS) and for payment of the tax obligation on the exercise of the Table II SARS. This transaction was executed in multiple trades at prices ranging from $93.28 to $94.27. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $94.28 to $95.27. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $95.29 to $96.16. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. /s/ Charles E. Baker attorney-in-fact for Mr. Hayes 2020-12-09