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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) | 11/16/2007 | J(1) | 35,000 (1) | 11/16/2007(1) | 11/16/2007 | Common Stock | 35,000 (1) | (1) | 0 | 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, VP,GenCoun&AsstCorpSec For: John R. Friedery | 11/19/2007 | |
**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 finalized a prepaid variable forward contract (Contract) with a broker dealer (Buyer) relating to the disposition by Mr. Friedery of up to 35,000 shares of Ball Corporation Common Stock (Ball Shares). On 11/16/07, the Settlement Date, the Contract obligated Mr. Friedery to deliver to the Buyer a number of Ball Shares equal to $1,504,650 (32,902 Ball shares @ $45.73 each). This transaction was disclosed on a Form 4 filing with the SEC on 11/18/04 and was settled in accordance with its terms through delivery by Mr. Friedery of 32,902 Ball Shares to the Buyer. |
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, participant's contributions and employer matching contributions. |