SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Pauley Lisa Ann

(Last) (First) (Middle)
9200 W. 108TH CIRCLE


(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BALL Corp [ BLL ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, HR & Administration
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
Code V Amount (A) or (D) Price
Common Stock 01/31/2021 M 10,029(1) A $88.02 213,942.5888(2) D(3)
Common Stock 01/31/2021 F 2,954(4) D $88.02 210,988.5888 D(3)
Common Stock 6,211.344 I(3) 401(k) Plan(5)
Common Stock 283,475.5207 I(3) By Spouse(6)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (7) 01/31/2021 M(8) 9,784 (8) (8) Common Stock 9,784 $0 18,599 D(3)
Explanation of Responses:
1. Common stock acquired upon the lapse of Table II Performance Contingent Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
2. Due to an administrative error, the Form 4 filed on November 12, 2020 understated the number of shares beneficially owned after the transaction by 20 shares.
3. 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.
4. Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II Restricted Stock Units.
5. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
6. The reporting person expressly disclaims beneficial ownership of these securities.
7. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
8. Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria.
/s/ Charles E. Baker, attorney-in-fact for Ms. Pauley 02/02/2021
** 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.