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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) | 09/30/2005 | J(1) | 120,000 (1) | (1) | 09/30/2005 | Common Stock | 103,669 (1) | (1) | 0 | I | by trust (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOOVER R DAVID BALL CORPORATION 10 LONGS PEAK DR. BROOMFIELD, CO 80021-2510 |
X | CHAIRMAN, PRESIDENT & CEO |
By: Charles E. Baker, VP,GenCoun&AsstCorpSec For: R. David Hoover | 10/13/2005 | |
**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 9/30/02, the Suzanne A. Hoover Revocable Trust of 1/30/97 (Trust) finalized a prepaid variable forward contract (Contract) with a broker dealer (Buyer) relating to the disposition by the Trust of between 50,000 and 60,000 shares of Ball Corporation Common Stock (Ball Shares). The Contract obligated the Trust to deliver to the Buyer on 9/30/05 (Settlement Date), a number of Ball Shares equal to $3,000,000 (60,000 Ball shares @ $50.00 each). In exchange, the Trust received 85.48% of $3,000,000. The Contract provided, based on the price of Ball Shares on Settlement Date, that the Trust could receive 120% of the $50.00 per share (Floor Price) up to a maximum of $60.00 per share (Ceiling Price). This transaction was disclosed on a Form 4 filing with the SEC on 10/1/02. Ball Shares were subject to a stock split on 8/23/04. The Contract matured on 9/30/05 and was settled in accordance with its terms through delivery by the Trust of 103,669 Ball Shares to the Buyer. |
(2) | The reporting person expressly disclaims beneficial ownership of these securities. |