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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (iso) (Right to Buy) | $ 40.08 | 01/28/2009 | A(1) | 2,100 | 01/28/2010 | 01/28/2019 | Common Stock | 2,100 | $ 0 | 2,100 | D | ||||
Stock Appreciation Rights (sars) | $ 40.08 | 01/28/2009 | A(2) | 11,900 | 01/28/2010 | 01/28/2019 | Common Stock | 11,900 | $ 0 | 11,900 | D | ||||
ISO By spouse | $ 40.08 | 01/28/2009 | A(3) | 900 | 01/28/2010 | 01/28/2019 | Common Stock | 900 | $ 0 | 900 | I | By Spouse (7) | |||
SARS By Spouse | $ 40.08 | 01/28/2009 | A(4) | 24,100 | 01/28/2010 | 01/28/2019 | Common Stock | 24,100 | $ 0 | 24,100 | I | By spouse (7) | |||
Restricted Stock Units | $ 40.08 | 01/28/2009 | A(5) | 5,600 | 01/31/2012 | 01/31/2012 | Common Stock | 5,600 | $ 0 | 23,100 | I | By Spouse (7) | |||
Restricted Stock Units | $ 40.08 | 01/28/2009 | A(6) | 3,000 | 01/31/2012 | 01/31/2012 | Common Stock | 3,000 | $ 0 | 12,750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pauley Lisa Ann 10 LONGS PEAK DRIVE BROOMFIELD, CO 80021-2510 |
VP,Administration & Compliance |
/s/ Robert W. McClelland, attorney-in-fact for Ms. Pauley | 01/30/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Incentive stock option (ISO) granted under the Ball Corporation 2005 Stock & Cash Incentive Plan. The option vests in four annual installments beginning one year after date of grant. |
(2) | SARs (Stock Appreciation Rights) granted under the Ball Corporation 2005 Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant. |
(3) | Spouse's incentive stock option (ISO) grant under the Ball Corporation 2005 Stock & Cash Incentive Plan. The option vests in four annual installments beginning one year after date of grant. |
(4) | Spouse's SARs (Stock Appreciation Rights) granted under the Ball Corporation 2005 Stock and Cash Incentive Plan. The stock appreciation rights vest in four annual installments beginning one year after date of grant. |
(5) | Spouse's performance contingent restricted stock unit grant under the 2005 Stock and Cash Incentive Plan, which vests in three years upon the attainment of the performance criteria. |
(6) | Performance contingent restricted stock unit grant under the 2005 Stock and Cash Incentive Plan, which vests in three years upon the attainment of the performance criteria. |
(7) | The reporting person expressly disclaims beneficial ownership of these securities. |