SEC Form 4 · accession 0000014693-16-000114

BROWN FORMAN CORP · BF-A

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

Reporting owner

Officer — SVP, CPO

Period of report

Apr 30, 2016

Accepted (ET)

May 3, 2016 · 8:05 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 B Common^F1	Apr 30, 2016	M	280	$0.00	A	280	D
Class B Common^F2	Apr 30, 2016	F	98	$96.32	D	182	D
Class B Common^F3	holding	—	—		—	545	I	By 401k

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F4,F1	—	Apr 30, 2016	M	280	D	Apr 30, 2016	—	Class B Common	280	0	D
Restricted Stock Units^F4,F5	—	holding	—	—	—	Apr 30, 2017	—	Class B Common	119	119	D
Stock Appreciation Right	$46.40	holding	—	—	—	May 1, 2014	Apr 30, 2021	Class B Common	4,157	4,157	D
Stock Appreciation Right	$58.70	holding	—	—	—	May 1, 2015	Apr 30, 2022	Class B Common	3,050	3,050	D
Stock Appreciation Right	$72.42	holding	—	—	—	May 1, 2016	Apr 30, 2023	Class B Common	3,458	3,458	D
Stock Appreciation Right	$91.97	holding	—	—	—	May 1, 2017	Apr 30, 2024	Class B Common	4,069	4,069	D
Stock Appreciation Right	$102.25	holding	—	—	—	May 1, 2018	Apr 30, 2025	Class B Common	7,083	7,083	D

F1The Restricted Stock Units were granted on July 26, 2012, and vested April 30, 2016.
F2The closing price of BF-B ($96.32) on April 29, 2016 was used to calculate the withholding obligation.
F3Number of shares acquired through the issuer's 401(k) plan as of April 26, 2016.
F4Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F5The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.