SEC Form 4 · accession 0000014693-16-000164
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jill Ackerman Jones
Officer — Executive Vice President
Period of report
Jul 8, 2016
Accepted (ET)
Jul 11, 2016 · 5:15 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 | Jul 8, 2016 | M | 15,106 | $38.43 | A | 34,969 | D | |
| Class B CommonF1 | Jul 8, 2016 | F | 10,347 | $97.09 | D | 24,622 | D | |
| Class B Common | Jul 8, 2016 | S | 4,759 | $98.00 | D | 19,863 | D | |
| Class A Common | holding | — | — | — | 20,936 | D | ||
| Class B CommonF2 | holding | — | — | — | 7,429 | I | By 401k | |
| Class A CommonF3 | holding | — | — | — | 224 | I | DRIP | |
| Class B CommonF4 | holding | — | — | — | 313 | I | ESPP | |
| Class A CommonF4 | holding | — | — | — | 2,677 | I | ESPP | |
| Class B Common | holding | — | — | — | 45 | I | Trust fbo Child-1 | |
| Class B Common | holding | — | — | — | 45 | I | Trust fbo Child-2 |
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 | $38.43 | Jul 8, 2016 | M | 15,106 | D | May 1, 2013 | Apr 30, 2020 | Class B Common | 15,106 | 0 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 16,759 | 16,759 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 10,222 | 10,222 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 11,098 | 11,098 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 12,592 | 12,592 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 9,771 | 9,771 | D |
Explanation of responses
- F1The closing price of BF-B on July 7, 2016 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's 401(k) plan as of July 7, 2016.
- F3Number of shares acquired through the issuer's dividend reinvestment plan as of July 8, 2016.
- F4Number of shares acquired through the issuer's employee stock purchase program as of July 8, 2016.