SEC Form 4 · accession 0000014693-16-000115

BROWN FORMAN CORP · BF-A

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

Reporting owner

Director

Period of report

Apr 29, 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	Apr 29, 2016	M	1,467	$34.95	A	273,264	D
Class B Common^F1	Apr 29, 2016	F	538	$95.41	D	272,726	D
Class B Common^F2	Apr 30, 2016	M	3,124	$0.00	A	275,850	D
Class A Common	holding	—	—		—	57,837	D
Class B Common^F3	holding	—	—		—	12,936	I	By 401k
Class A Common	holding	—	—		—	10,190	I	2010 GRAT
Class B Common	holding	—	—		—	17,418	I	2010 GRAT
Class A Common	holding	—	—		—	104,457	I	2012 GRAT
Class B Common	holding	—	—		—	2,746	I	CBGB LLC
Class A Common	holding	—	—		—	7,346	I	Crummey Trust
Class B Common	holding	—	—		—	3,095	I	Crummey Trust
Class A Common	holding	—	—		—	11,620	I	GGB IV CLAT
Class A Common	holding	—	—		—	529,554	I	GGB4 2010 #1 LP
Class A Common	holding	—	—		—	496	I	GGB4 2010#2 LLC
Class B Common	holding	—	—		—	78,300	I	GGB4 2010#2 LLC
Class A Common	holding	—	—		—	2,580,236	I	GGB4 2012 LP
Class B Common	holding	—	—		—	255,168	I	GGB4 2012 LP
Class A Common	holding	—	—		—	7,471	I	Spouse's trust
Class B Common	holding	—	—		—	2,973	I	Spouse's trust
Class A Common	holding	—	—		—	47,625	I	Sullivan Street Partners

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right	$34.95	Apr 29, 2016	M	1,467	D	May 1, 2009	Apr 30, 2016	Class B Common	1,467	0	D
Restricted Stock Units^F4,F2	—	Apr 30, 2016	M	3,124	D	Apr 30, 2016	—	Class B Common	3,124	0	D
Deferred Stock Units^F5,F6	—	holding	—	—	—	—	—	Class A Common	3,162	3,162	D
Restricted Stock Units^F4,F7	—	holding	—	—	—	Apr 30, 2017	—	Class B Common	3,936	3,936	D
Restricted Stock Units^F4,F8	—	holding	—	—	—	Apr 30, 2018	—	Class B Common	3,426	3,426	D
Restricted Stock Units^F4,F9	—	holding	—	—	—	Apr 30, 2019	—	Class B Common	380	380	D
Stock Appreciation Right	$33.76	holding	—	—	—	May 1, 2010	Apr 30, 2017	Class B Common	1,679	1,679	D
Stock Appreciation Right	$35.51	holding	—	—	—	May 1, 2011	Apr 30, 2018	Class B Common	1,542	1,542	D
Stock Appreciation Right	$27.05	holding	—	—	—	May 1, 2012	Apr 30, 2019	Class B Common	4,714	4,714	D

F1The closing price of BF-B ($95.41) on April 28, 2016 was used to calculate the withholding obligation.
F2The Restricted Stock Units were granted on July 26, 2012, and vested April 30, 2016.
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.
F5Under the Brown-Forman Corporation 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 credited with DSU equivalents.
F6Annual 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.
F7The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
F8The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
F9The Restricted Stock Units were granted on July 23, 2015, and vest April 30, 2019.