SEC Form 4 · accession 0000014693-16-000123
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa P Steiner
Officer — SVP, Chief of Staff
Period of report
Apr 30, 2016
Accepted (ET)
May 3, 2016 · 8:08 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 CommonF1,F2 | Apr 30, 2016 | F | 669 | $103.71 | D | 6,439 | D | |
| Class B Common | holding | — | — | — | 111 | D | ||
| Class A CommonF3 | holding | — | — | — | 730 | I | DRIP | |
| Class B CommonF3 | holding | — | — | — | 126 | I | DRIP |
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 | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 6,739 | 6,739 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 5,467 | 5,467 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 5,641 | 5,641 | D |
Explanation of responses
- F1To satisfy withholding obligations associated with the July 26, 2012 grant of Class A common stock that vested on April 30, 2016, the reporting person surrendered 669 shares of Class A common stock.
- F2The closing price of BF-A ($103.71) on April 29, 2016 was used to calculate the withholding obligation.
- F3Number of shares acquired through the issuer's dividend reinvestment plan as of April 27, 2016.