0001062993-23-018216.txt : 20230918 0001062993-23-018216.hdr.sgml : 20230918 20230918191211 ACCESSION NUMBER: 0001062993-23-018216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230918 FILED AS OF DATE: 20230918 DATE AS OF CHANGE: 20230918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER CHARLES E CENTRAL INDEX KEY: 0001286361 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07349 FILM NUMBER: 231262235 MAIL ADDRESS: STREET 1: 10 LONGS PEAK DRIVE STREET 2: C/O BALL CORP CITY: BROOMFIELD STATE: CO ZIP: 80021-2510 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BALL Corp CENTRAL INDEX KEY: 0000009389 STANDARD INDUSTRIAL CLASSIFICATION: METAL CANS [3411] IRS NUMBER: 350160610 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9200 W. 108TH CIRCLE CITY: WESTMINSTER STATE: CO ZIP: 80021 BUSINESS PHONE: 3034695511 MAIL ADDRESS: STREET 1: 9200 W. 108TH CIRCLE CITY: WESTMINSTER STATE: CO ZIP: 80021 FORMER COMPANY: FORMER CONFORMED NAME: BALL CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: BALL BROTHERS CO DATE OF NAME CHANGE: 19731115 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-09-18 1 0000009389 BALL Corp BALL 0001286361 BAKER CHARLES E 9200 W. 108TH CIRCLE WESTMINSTER CO 80021 0 1 0 0 VP, GEN COUNSEL & CORP SEC 0 Common Stock 202301.0034 D Common Stock 6128.478 I 401(k) Plan Common Stock 13295 I See Footnote Common Stock 800 I By Daughter Deferred Compensation Company Stock Plan Common Stock 108142.5052 108142.5052 D Restricted Stock Units Common Stock 18883 18883 D Restricted Stock Units Common Stock 2800 2800 D Stock Appreciation Rights (sars) 24.535 2015-01-29 2024-01-29 Common Stock 44800 44800 D Stock Appreciation Rights (sars) 33.075 2016-02-04 2025-02-04 Common Stock 35212 35212 D Stock Appreciation Rights (sars) 33.05 2017-01-27 2026-01-27 Common Stock 29066 29066 D Stock Appreciation Rights (sars) 38.375 2018-01-25 2027-01-25 Common Stock 37470 37470 D Stock Option (Right to Buy) 38.84 2019-01-24 2028-01-24 Common Stock 39691 39691 D Stock Option (Right to Buy) 50.78 2020-01-23 2029-01-23 Common Stock 31353 31353 D Stock Option (Right to Buy) 72.59 2021-01-29 2030-01-29 Common Stock 26042 26042 D Stock Option (Right to Buy) 85.33 2022-01-27 2031-01-27 Common Stock 22222 22222 D Stock Option (Right to Buy) 86.57 2023-01-26 2032-01-26 Common Stock 21709 21709 D Stock Option (Right to Buy) 56.64 2024-01-25 2033-01-25 Common Stock 27729 27729 D 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. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. 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. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest. 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. Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the plan. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. Each restricted stock unit granted under the Deposit Share Program represents a contingent opportunity to receive one share of Ball Corporation Common Stock. /s/ Charles E. Baker 2023-09-18