0001062993-21-011749.txt : 20211129 0001062993-21-011749.hdr.sgml : 20211129 20211129191343 ACCESSION NUMBER: 0001062993-21-011749 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211129 FILED AS OF DATE: 20211129 DATE AS OF CHANGE: 20211129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pauley Lisa Ann CENTRAL INDEX KEY: 0001397952 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07349 FILM NUMBER: 211457914 MAIL ADDRESS: STREET 1: 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: 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-11-29 1 0000009389 BALL Corp BLL 0001397952 Pauley Lisa Ann 9200 W. 108TH CIRCLE WESTMINSTER CO 80021 0 1 0 0 EVP, HR & Administration Common Stock 211144.2054 D Common Stock 6244.152 I 401(k) Plan Common Stock 283475.6297 I By Spouse Deferred Compensation Company Stock Plan Common Stock 208797.0524 208797.0524 D Restricted Stock Units Common Stock 18599 18599 D Stock Appreciation Rights (sars) 22.965 2014-01-30 2023-01-30 Common Stock 41000 41000 D Stock Appreciation Rights (sars) 24.535 2015-01-29 2024-01-29 Common Stock 41200 41200 D Stock Appreciation Rights (sars) 33.075 2016-02-04 2025-02-04 Common Stock 34930 34930 D Stock Appreciation Rights (sars) 33.05 2017-01-27 2026-01-27 Common Stock 27774 27774 D Stock Appreciation Rights (sars) 38.375 2018-01-25 2027-01-25 Common Stock 39812 39812 D Stock Option (Right to Buy) 38.84 2019-01-24 2028-01-24 Common Stock 41896 41896 D Stock Option (Right to Buy) 50.78 2020-01-23 2029-01-23 Common Stock 32508 32508 D Stock Option (Right to Buy) 72.59 2021-01-29 2030-01-29 Common Stock 26302 26302 D Stock Option (Right to Buy) 85.33 2022-01-27 2031-01-27 Common Stock 22727 22727 D 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 2021 Proxy Statement. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. The reporting person expressly disclaims beneficial ownership of these securities. Each unit may be settled for a single share of stock or the equivalent amount of cash pursuant to the Ball Corporation Deferred Compensation Company Stock Plan. Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. /s/ Charles E. Baker, attorney-in-fact for Ms. Pauley 2021-11-29