Charles E. Baker - 18 Sep 2023 Form 4 Insider Report for BALL Corp (BALL)

Reporting relationship: VP, GEN COUNSEL & CORP SEC
Issuer ticker: BALL
Reported as of: 18 Sep 2023
Net transaction value: $0
SEC form: 4
Accepted by SEC: 18 Sep 2023, 19:12:11 UTC
Prior SEC filing: 18 Sep 2023
Source filing: View source filing
Reporting owner signature: /s/ Charles E. Baker

Key filing fact

Charles E. Baker filed Form 4 for BALL Corp (BALL) on 18 Sep 2023.

Key facts

This page summarizes Charles E. Baker's Form 4 filing for BALL Corp (BALL).
0 reported transactions and 13 derivative rows are listed below.
Accepted by SEC: 18 Sep 2023, 19:12.

Change

Previous filing in this sequence was filed on 18 Sep 2023.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

BALL holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 202,301
Date: 18 Sep 2023
Ownership: Direct
Footnotes: F1

BALL holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,128
Date: 18 Sep 2023
Ownership: 401(k) Plan
Footnotes: F1, F2

BALL holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 13,295
Date: 18 Sep 2023
Ownership: See Footnote
Footnotes: F1, F3

BALL holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 800
Date: 18 Sep 2023
Ownership: By Daughter
Footnotes: F1, F4

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

BALL holding Derivative

Deferred Compensation Company Stock Plan

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 108,143
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 108,143
Exercise price
Footnotes: F1, F5, F6

BALL holding Derivative

Restricted Stock Units

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 18,883
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 18,883
Exercise price
Footnotes: F1, F7

BALL holding Derivative

Restricted Stock Units

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,800
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,800
Exercise price
Footnotes: F1, F8

BALL holding Derivative

Stock Appreciation Rights (sars)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 44,800
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 44,800
Exercise price: $24.54
Footnotes: F1

BALL holding Derivative

Stock Appreciation Rights (sars)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 35,212
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 35,212
Exercise price: $33.08
Footnotes: F1

BALL holding Derivative

Stock Appreciation Rights (sars)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 29,066
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 29,066
Exercise price: $33.05
Footnotes: F1

BALL holding Derivative

Stock Appreciation Rights (sars)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 37,470
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 37,470
Exercise price: $38.38
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 39,691
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 39,691
Exercise price: $38.84
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 31,353
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 31,353
Exercise price: $50.78
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 26,042
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 26,042
Exercise price: $72.59
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 22,222
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 22,222
Exercise price: $85.33
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 21,709
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 21,709
Exercise price: $86.57
Footnotes: F1

BALL holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 27,729
Date: 18 Sep 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 27,729
Exercise price: $56.64
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Charles E. Baker is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 8 footnotes

Footnote F1

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 2023 Proxy Statement.

Footnote F2

Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.

Footnote F3

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.

Footnote F4

The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest.

Footnote F5

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.

Footnote F6

Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the plan.

Footnote F7

Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.

Footnote F8

Each restricted stock unit granted under the Deposit Share Program represents a contingent opportunity to receive one share of Ball Corporation Common Stock.

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