Ball (BALL) Form 4 BALL / CHARLES E BAKER ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

BAKER CHARLES E

(Last) (First) (Middle)

BALL CORPORATION

10 LONGS PEAK DR.

(Street)

BROOMFIELD CO 80021-2510

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
BALL Corp [ BLL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP,GEN COUNSEL & CORP SEC

3. Date of Earliest Transaction (Month/Day/Year)
01/31/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/31/2020		M		26,793(1)	A	$72.18	219,487.8868	D
Common Stock	01/31/2020		F		9,720(2)	D	$72.18	209,767.8868	D
Common Stock	01/31/2020		M		6,171(3)	A	$72.18	215,938.8868	D
Common Stock	01/31/2020		F		2,706(2)	D	$72.18	213,232.8868	D
Common Stock								5,890.206(4)	I	401(k) Plan
Common Stock								800	I	By Daughter

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(5)	01/31/2020		M		6,341		(6)	(6)	Common Stock	6,341	$0.00	63,793	D
Restricted Stock Units	(5)	01/31/2020		M			26,793	(7)	(7)	Common Stock	26,793	$0.00	37,000	D
Restricted Stock Units	(5)	01/31/2020		M			6,171	(8)	(8)	Common Stock	6,171	$0.00	30,829	D
Restricted Stock Units	(5)	01/31/2020		M			2,167	(9)	(9)	Common Stock	2,167	$0.00	28,662	D

Explanation of Responses:

1. Common stock acquired upon the lapse of Table II Special Acquisition Restricted Stock Units (SAIP) based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.

2. Shares withheld for the payment of the tax obligation on the lapse of restrictions on Table II restricted stock units.

3. Common stock acquired upon the lapse of Table II Performance Contingent Restricted Stock Units based on the applicable Ball Corporation Stock and Cash Incentive Plan performance factor and in accordance with the provisions of said Plan.

4. Total number of 401(k) Plan shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.

5. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.

6. Restricted stock units that lapsed based upon the calculation of the attainment of the original award above target. Relates to final payout of the SAIP RSU award originally granted to certain employees on July 27, 2016, subsequent to the completion of the acquisition of Rexam PLC.

7. Lapse of restrictions on Special Acquisition Restricted Stock Units (SAIP) as a result of attainment of the performance criteria.

8. Lapse of restrictions on Performance Contingent Restricted Stock Units as a result of attainment of the performance criteria.

9. Performance Contingent Restricted Stock Units that did not lapse and were forfeited based upon the calculation of the attainment of the original award.

Remarks:

	/s/ Charles E. Baker	02/04/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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