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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 | ||||||||
Prepaid Variable Forward Contract | (1) | 11/17/2004 | J(1) | 35,000 (1) | 11/16/2007(1) | 11/16/2007 | Common Stock | 35,000 | (1) | 35,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRIEDERY JOHN R BALL CORPORATION 10 LONGS PEAK DR. BROOMFIELD, CO 80021-2510 |
COO, N. American Packaging |
By: Charles E. Baker, GenCounsel&AsstCorpSec For: John R. Friedery | 11/18/2004 | |
**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) | On 11-17-04, John R. Friedery entered into a prepaid variable forward contract (Contract) with a broker/dealer (Buyer) for disposition of 35,000 shares of Ball Corp Common Stock (Ball Shares). Contract obligates Mr. Friedery to deliver to Buyer on 11-16-07 (Settlement Date) a number of Ball Shares equal to $1,504,650 (currently 35,000 Ball Shares @$42.99). In exchange Mr. Friedery initially receives a portion of the settlement price. The number of Ball Shares to be sold by Mr. Friedery under Contract will be 35,000 base amount & will depend on whether the ceiling price is above floor price. To fulfill the Contract, Ball Shares have been delivered to Buyer but will not be sold until 11-16-07. At Mr. Friedery's option he may deliver cash equivalent to value of required number of Ball Shares to be delivered on Settlement Date. |
Remarks: Total number of Common Shares directly owned includes shares acquired through participation in the Ball Corporation Employee Stock Purchase Plan. Total number of 401(k) Plan shares includes shares acquired through periodic dividend reinvestment and employer matching contributions. |