SEC Form 5 · accession 0000014693-16-000158
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alejandro A Alvarez
Officer — SVP, CPO
Period of report
Apr 30, 2016
Accepted (ET)
Jun 14, 2016 · 9:11 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 | Aug 11, 2015 | I | 101 | $110.60 | D | 545 | I | By 401k |
| Class B Common | Nov 17, 2015 | I | 12 | $105.32 | A | 545 | I | By 401k |
| Class B Common | holding | — | — | — | 182 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | Apr 30, 2017 | — | Class B Common | 119 | 119 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 4,069 | 4,069 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 3,050 | 3,050 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 7,083 | 7,083 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 3,458 | 3,458 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 4,157 | 4,157 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- F2The Restricted Stock Units were granted on July 25, 2013, and vest on April 30, 2017.