SEC Form 4 · accession 0000014693-16-000118
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian P Fitzgerald
Officer — SVP, Chief Accounting Officer
Period of report
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 8:06 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 | 1,721 | $34.95 | A | 1,721 | D | |
| Class B CommonF1 | Apr 29, 2016 | F | 1,027 | $95.41 | D | 694 | D |
Table II — derivative securities
| 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 | 1,721 | D | May 1, 2009 | Apr 30, 2016 | Class B Common | 1,721 | 0 | D |
| Stock Appreciation Right | $33.76 | holding | — | — | — | May 1, 2010 | Apr 30, 2017 | Class B Common | 2,637 | 2,637 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | May 1, 2011 | Apr 30, 2018 | Class B Common | 2,422 | 2,422 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 4,728 | 4,728 | D |
| Stock Appreciation Right | $38.43 | holding | — | — | — | May 1, 2013 | Apr 30, 2020 | Class B Common | 3,969 | 3,969 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 3,739 | 3,739 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 3,474 | 3,474 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 5,762 | 5,762 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 4,446 | 4,446 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 5,214 | 5,214 | D |
Explanation of responses
- F1The closing price of BF-B ($95.41) on April 28, 2016 was used to calculate the withholding obligation.