- Initial Statement of Beneficial Ownership (3)
May 04 2010 - 7:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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February 28, 2011
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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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1. Name and Address of Reporting Person
*
Knobel Jeff A
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/28/2010
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3. Issuer Name
and
Ticker or Trading Symbol
BALL CORP [BLL]
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(Last)
(First)
(Middle)
10 LONGS PEAK DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Treasurer /
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(Street)
BROOMFIELD, CO 80005
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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65.3577
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I
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401K
(1)
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Common Stock
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610.8203
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Deferred Compensation Company Stock Plan
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(2)
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(2)
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Common Stock
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234.6228
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(3)
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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2300
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(4)
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D
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Stock Appreciation Rights (sars)
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(5)
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1/28/2019
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Common Stock
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1750
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$40.08
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D
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Stock Appreciation Rights (sars)
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(5)
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1/27/2020
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Common Stock
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1200
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$50.45
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D
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Stock Option (iso) (Right to Buy)
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(6)
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1/28/2019
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Common Stock
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1750
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$40.08
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D
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Stock Option (iso) (Right to Buy)
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(6)
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1/27/2020
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Common Stock
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1100
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$50.45
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/22/2013
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Common Stock
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3000
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$28.155
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/28/2014
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Common Stock
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5250
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$34.11
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/27/2015
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Common Stock
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2500
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$39.74
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/26/2016
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Common Stock
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3000
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$43.69
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/25/2017
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Common Stock
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2400
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$49.32
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D
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Employee Stock Option (Right to Buy)
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(6)
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4/23/2018
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Common Stock
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2400
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$50.11
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D
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Explanation of Responses:
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(
1)
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Total number of 401(k) Plan shares includes shares acquired through periodic dividend reinvestment, participant's contributions and employer matching contributions.
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(
2)
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Stock units in Ball Corporation's Deferred Compensation Company Stock Plan are distributed upon the separation of service in accordance with the Plan.
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(
3)
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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.
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(
4)
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Restricted Stock Units awarded under the Stock and Cash Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Ball Corporation Common Stock.
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(
5)
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A stock appreciation right ("SAR") entitles its holder, upon exercise of the right, to receive from the issuer, in cash or common stock, an amount equal to the "spread" on the right (i.e. the amount by which the market price of the underlying stock exceeds the exercise price). SARs are exercisable beginning one year after the grant in 25% increments and thereafter annually upon the anniversary of the date of the grant of the SAR.
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(
6)
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Shares exercisable beginning one year after grant in 25% increments and thereafter annually upon the anniversary of the date of grant of the stock option.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Knobel Jeff A
10 LONGS PEAK DRIVE
BROOMFIELD, CO 80005
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Treasurer
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Signatures
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/s/ Robert W. McClelland, Attorney-In-Fact for Mr. Knobel
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5/4/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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