Charles E. Baker - Aug 9, 2021 Form 4 Insider Report for BALL Corp (BALL)

Role
VP, GEN COUNSEL & CORP SEC
Signature
/s/ Charles E. Baker
Stock symbol
BALL
Transactions as of
Aug 9, 2021
Transactions value $
-$277,031
Form type
4
Date filed
8/11/2021, 04:41 PM
Previous filing
Jun 11, 2021
Next filing
Sep 16, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BALL Common Stock Options Exercise $225K +9.8K +5.78% $22.97 179K Aug 9, 2021 Direct F1, F2
transaction BALL Common Stock Tax liability -$502K -5.75K -3.21% $87.35 174K Aug 9, 2021 Direct F2, F3
holding BALL Common Stock 13.3K Aug 9, 2021 See Footnote F2, F4
holding BALL Common Stock 800 Aug 9, 2021 By Daughter F2, F5
holding BALL Common Stock 5.96K Aug 9, 2021 401(k) Plan F2, F6

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BALL Stock Appreciation Rights (sars) Options Exercise $0 -9.8K -26.2% $0.00 27.6K Aug 9, 2021 Common Stock 9.8K $22.97 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Common stock acquired upon the exercise of Stock Appreciation Rights (SARS).
F2 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.
F3 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.
F4 These shares are held by an entity controlled by the reporting person. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.
F5 The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.
F6 Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.