Statement of Changes in Beneficial Ownership (4)
17 Março 2022 - 8:29PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Kaufman David A |
2. Issuer Name and Ticker or Trading Symbol
BALL Corp
[
BLL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, Ball Aerospace |
(Last)
(First)
(Middle)
9200 W. 108TH CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2022 |
(Street)
WESTMINSTER, CO 80021
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/15/2022 | | M | | 300 (1) | A | $90.75 | 12398.9229 | D (2) | |
Common Stock | 3/15/2022 | | F | | 87 (3) | D | $90.75 | 12311.9229 | D (2) | |
Common Stock | 3/15/2022 | | M | | 562 (1) | A | $90.75 | 12873.9229 | D (2) | |
Common Stock | 3/15/2022 | | F | | 163 (3) | D | $90.75 | 12710.9229 | D (2) | |
Common Stock | | | | | | | | 5.418 | I (2) | 401(k) Plan (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 | (5) | 3/15/2022 | | M | | | 1724 | (6) | (6) | Common Stock | 1724 | $0 | 7796 | D (2) | |
Deferred Compensation Company Stock Plan | (7) | 3/15/2022 | | M (8) | | 923.1223 | | (9) | (9) | Common Stock | 923.1223 | $90.75 | 28657.3982 | D (2) | |
Explanation of Responses: |
(1) | Common stock acquired upon the lapse of Table II Restricted Stock Units. |
(2) | 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. |
(3) | Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II Restricted Stock Units. |
(4) | Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
(6) | Lapse of restricted stock units. |
(7) | 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. |
(8) | Lapse of Restricted Stock Units deferred into Ball Corporation's Deferred Compensation Company Stock Plan and may include company match. |
(9) | Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kaufman David A 9200 W. 108TH CIRCLE WESTMINSTER, CO 80021 |
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| President, Ball Aerospace |
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Signatures
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/s/ Charles E. Baker, attorney-in-fact for Mr. Kaufman | | 3/17/2022 |
**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 control number. |
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