UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2005 Deferred Compensation Company Stock Plan | Â (2) | Â (2) | Common Stock | 271.4663 | $ (3) | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 7,350 | $ (4) | D | Â |
Stock Appreciation Rights (sars) | 04/25/2008(5) | 04/25/2017 | Common Stock | 1,500 | $ 49.32 | D | Â |
Stock Appreciation Rights (sars) | 04/23/2009(5) | 04/23/2018 | Common Stock | 3,000 | $ 50.11 | D | Â |
Stock Appreciation Rights (sars) | 01/28/2010(5) | 01/28/2019 | Common Stock | 5,000 | $ 40.08 | D | Â |
Stock Option (iso) (Right to Buy) | 04/25/2008(5) | 04/25/2017 | Common Stock | 1,125 | $ 49.32 | D | Â |
Stock Option (iso) (Right to Buy) | 04/23/2009(5) | 04/23/2018 | Common Stock | 3,000 | $ 50.11 | D | Â |
Stock Option (iso) (Right to Buy) | 01/28/2010(5) | 01/28/2019 | Common Stock | 4,000 | $ 40.08 | D | Â |
Employee Stock Option (Right to Buy) | 04/26/2007(5) | 04/26/2016 | Common Stock | 1,200 | $ 43.69 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barker Shawn M 10 LONGS PEAK DRIVE BROOMFIELD, CO 80021 |
 |  |  Vice President & Controller |  |
/s/ Charles E. Baker, attorney-in-fact for Mr. Barker | 01/08/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Total number of 401(k) Plan shares includes shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions. |
(2) | Stock Units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan. |
(3) | 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. |
(4) | Restricted Stock Units awarded under the 2005 Stock and Cash Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock. |
(5) | Shares are exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of the grant. |
 Remarks: Power of Attorney is attached. |