Sec Form 4 Filing - MORRISON SCOTT C @ BALL Corp - 2020-01-31

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
MORRISON SCOTT C
2. Issuer Name and Ticker or Trading Symbol
BALL Corp [ BLL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SR. V.P. and C.F.O.
(Last) (First) (Middle)
BALL CORPORATION, 10 LONGS PEAK DR.
3. Date of Earliest Transaction (MM/DD/YY)
01/31/2020
(Street)
BROOMFIELD, CO80021-2510
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/31/2020 M 36,240 ( 1 ) A $ 72.18 408,480.2418 D
Common Stock 01/31/2020 F 13,847 ( 2 ) D $ 72.18 394,633.2418 D
Common Stock 01/31/2020 M 11,185 ( 3 ) A $ 72.18 405,818.2418 D
Common Stock 01/31/2020 F 4,905 ( 2 ) D $ 72.18 400,913.2418 D
Common Stock 8,364.579 I 401(k) Plan ( 4 )
Common Stock 100 I By Son
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A . Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 ) 01/31/2020 M 8,576 ( 6 ) ( 6 ) Common Stock 8,576 $ 0 98,276 D
Restricted Stock Units ( 5 ) 01/31/2020 M 36,240 ( 7 ) ( 7 ) Common Stock 36,240 $ 0 62,036 D
Restricted Stock Units ( 5 ) 01/31/2020 M 11,185 ( 8 ) ( 8 ) Common Stock 11,185 $ 0 50,851 D
Restricted Stock Units ( 5 ) 01/31/2020 M 3,929 ( 9 ) ( 9 ) Common Stock 3,929 $ 0 46,922 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
MORRISON SCOTT C
BALL CORPORATION
10 LONGS PEAK DR.
BROOMFIELD, CO80021-2510
SR. V.P. and C.F.O.
Signatures
/s/ Charles E. Baker, attorney-in-fact for Mr. Morrison 02/04/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Common stock acquired upon the lapse of Table II Special Acquisition Restricted Stock Units (SAIP) based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
( 2 )Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.
( 3 )Common stock acquired upon the lapse of Table II Performance Contingent Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.
( 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 )Restricted stock units that lapsed based upon the calculation of the attainment of the original award above target. Relates to final payout of the SAIP RSU award originally granted to certain employees on July 27, 2016, subsequent to the completion of the acquisition of Rexam PLC.
( 7 )Lapse of restrictions on Special Acquisition Restricted Stock Units (SAIP) as a result of attainment of the performance criteria.
( 8 )Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria.
( 9 )Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.

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).
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