SEC Form 4 · accession 0000014693-16-000052
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J McCauley Brown
10% Owner
Period of report
Feb 5, 2016
Accepted (ET)
Feb 9, 2016 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000014693
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common | Feb 8, 2016 | P | 11,460 | $103.9964 | A | 13,062 | D | |
| Class B Common | Feb 5, 2016 | P | 5,000 | $95.50 | A | 66,484 | D | |
| Class B CommonF1 | holding | — | — | — | 8,842 | I | By 401k | |
| Class A Common | holding | — | — | — | 968,395 | I | By Brown Ventures, LLC | |
| Class B Common | holding | — | — | — | 64,481 | I | By Brown Ventures, LLC | |
| Class A Common | holding | — | — | — | 181,940 | I | By JMB Irrev Trust | |
| Class A Common | holding | — | — | — | 176,898 | I | By MAE LLC | |
| Class A Common | holding | — | — | — | 3,217 | I | By Spouse | |
| Class A Common | holding | — | — | — | 50,704 | I | By Spouse Irrev Trust | |
| Class A Common | holding | — | — | — | 3,925 | I | By Spray Trust | |
| Class A Common | holding | — | — | — | 1,000 | I | Crummey Trust | |
| Class A Common | holding | — | — | — | 96,698 | I | Spouse GRAT | |
| Class A Common | holding | — | — | — | 15,995 | I | Williams Trust | |
| Class B Common | holding | — | — | — | 1,020 | I | Williams Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | holding | — | — | — | Apr 30, 2016 | — | Class B Common | 254 | 254 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | Apr 30, 2017 | — | Class B Common | 212 | 212 | D |
| Restricted Stock UnitsF2,F5 | — | holding | — | — | — | Apr 30, 2018 | — | Class B Common | 171 | 171 | D |
| Restricted Stock UnitsF2,F6 | — | holding | — | — | — | Apr 30, 2019 | — | Class B Common | 158 | 158 | D |
Explanation of responses
- F1Number of shares acquired through the issuer's 401(k) plan as of February 5, 2016.
- F2Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- F3The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
- F4The restricted stock units were granted on July 25, 2013, and vest April 30, 2017.
- F5The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
- F6The Restricted Stock Units were granted on July 23, 2015, and vest on April 30, 2019.