SEC Form 4 · accession 0000014693-16-000096

BROWN FORMAN CORP · BF-A

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Augusta Brown Holland

Director · 10% Owner

Period of report

Dec 7, 2015

Accepted (ET)

Mar 31, 2016 · 5:38 pm EDT

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	Dec 8, 2015	G	125	$0.00	A	517,105	D
Class A Common	Dec 8, 2015	G	125	$0.00	A	2,375	I	By Spouse
Class A Common	Dec 7, 2015	G	886	$0.00	D	0	I	JT WROS
Class B Common	Dec 7, 2015	G	222	$0.00	D	0	I	JT WROS
Class A Common^F1	Dec 9, 2015	G	13,626	$0.00	A	30,472	I	OB3 GST Exempt Trust
Class A Common	Dec 9, 2015	G	5,358	$0.00	A	5,358	I	OB3 GST Non-Exempt Trust
Class A Common	Dec 10, 2015	G	792	$0.00	A	126,881	I	Trust fbo Barzun Children
Class A Common	Dec 7, 2015	G	886	$0.00	A	115,886	I	Trust fbo Children
Class B Common	Dec 7, 2015	G	222	$0.00	A	96,196	I	Trust fbo Children
Class A Common	Dec 8, 2015	G	125	$0.00	A	3,783	I	Trust fbo Child-1
Class A Common	Dec 8, 2015	G	125	$0.00	A	2,742	I	Trust fbo Child-2
Class A Common	Dec 8, 2015	G	125	$0.00	A	2,742	I	Trust fbo Child-3
Class A Common	holding	—	—		—	241,142	I	ABH GRAT 2007
Class B Common	holding	—	—		—	56,301	I	ABH GRAT 2007
Class A Common	holding	—	—		—	42,154	I	ABH GRAT 2011
Class A Common	holding	—	—		—	44,301	I	Birdnest 2006 Ltd.
Class B Common	holding	—	—		—	2,356	I	By Spouse
Class A Common	holding	—	—		—	2,290	I	CLB 2012 Trust
Class B Common	holding	—	—		—	45,671	I	CLB 2012 Trust
Class A Common	holding	—	—		—	196,272	I	CLB Grandchildren Eq. Tr.
Class B Common	holding	—	—		—	122,685	I	CLB Grandchildren Eq. Tr.
Class A Common	holding	—	—		—	18	I	Eleanor Lee Trusts
Class B Common	holding	—	—		—	12,895	I	Eleanor Lee Trusts
Class B Common	holding	—	—		—	51,440	I	GST Exempt QTIP Trust
Class B Common	holding	—	—		—	201,736	I	GST Non-Exempt QTIP Trust
Class B Common	holding	—	—		—	546	I	Hebe Exempt Trust
Class A Common	holding	—	—		—	316,837	I	Hebe Three Limited Partnership
Class B Common	holding	—	—		—	215,284	I	Hebe Three Limited Partnership
Class B Common	holding	—	—		—	959	I	Holland Family Trust
Class B Common^F1	holding	—	—		—	95,485	I	OB3 GST Exempt Trust

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F2,F3	—	holding	—	—	—	—	—	Class A Common	592	592	D

Explanation of responses

F1Formerly known as Trust fbo Owsley Brown III.
F2Under the Brown-Forman Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 23, 2015, were based on the closing price of the Company's Class A common stock on that date ($111.30). On each dividend payment date, participants are creditied with DSU equivalents.
F3Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the Director's termination from Board service.