David A. Kaufman - Aug 27, 2021 Form 4 Insider Report for BALL Corp (BALL)

Role
President, Ball Aerospace
Signature
/s/ Charles E. Baker, attorney-in-fact for Mr. Kaufman
Stock symbol
BALL
Transactions as of
Aug 27, 2021
Transactions value $
-$365,644
Form type
4
Date filed
9/14/2021, 06:55 PM
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 $271K +8.2K +197.38% $33.08 12.4K Aug 27, 2021 Direct F1, F2
transaction BALL Common Stock Tax liability -$420K -4.39K -35.5% $95.69 7.97K Aug 27, 2021 Direct F2, F3
transaction BALL Common Stock Options Exercise $270K +8.18K +102.63% $33.05 16.2K Aug 27, 2021 Direct F1, F2
transaction BALL Common Stock Tax liability -$482K -5.04K -31.17% $95.69 11.1K Aug 27, 2021 Direct F2, F3
transaction BALL Common Stock Options Exercise $8.44K +220 +1.98% $38.38 11.3K Aug 27, 2021 Direct F1, F2
transaction BALL Common Stock Tax liability -$14.1K -147 -1.3% $95.69 11.2K Aug 27, 2021 Direct F2, F3
holding BALL Common Stock 5.38 Aug 27, 2021 401(k) Plan F2, F4

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 -8.2K -100% $0.00* 0 Aug 27, 2021 Common Stock 8.2K $33.08 Direct F2
transaction BALL Stock Appreciation Rights (sars) Options Exercise $0 -8.18K -100% $0.00* 0 Aug 27, 2021 Common Stock 8.18K $33.05 Direct F2
transaction BALL Stock Appreciation Rights (sars) Options Exercise $0 -220 -2.47% $0.00 8.68K Aug 27, 2021 Common Stock 220 $38.38 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.
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 Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.