SEC Form 4 · accession 0000014693-16-000173

BROWN FORMAN CORP · BF-A

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

Reporting owner

Augusta Brown Holland

Director · 10% Owner

Period of report

May 18, 2016

Accepted (ET)

Jul 15, 2016 · 12:44 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 Common	May 18, 2016	W	897	$0.00	A	897	I	Owsley Brown II Estate
Class B Common	May 18, 2016	W	611	$0.00	A	611	I	Owsley Brown II Estate
Class A Common	Jun 14, 2016	G	164,780	$0.00	D	31,492	I	CLB Grandchildren Eq. Tr.
Class B Common	Jun 14, 2016	G	101,880	$0.00	D	20,805	I	CLB Grandchildren Eq. Tr.
Class A Common	Jun 14, 2016	G	20,687	$0.00	A	20,687	I	CLB Trust fbo Cora Holland
Class B Common	Jun 14, 2016	G	11,334	$0.00	A	11,334	I	CLB Trust fbo Cora Holland
Class A Common	Jun 14, 2016	G	21,728	$0.00	A	21,728	I	CLB Trust fbo Owsley Holland
Class B Common	Jun 14, 2016	G	12,244	$0.00	A	12,244	I	CLB Trust fbo Owsley Holland
Class A Common	Jun 14, 2016	G	21,728	$0.00	A	21,728	I	CLB Trust fbo Lilla Holland
Class B Common	Jun 14, 2016	G	12,244	$0.00	A	12,244	I	CLB Trust fbo Lilla Holland
Class A Common^F1	Jul 12, 2016	W	885	$0.00	A	885	I	OB2 Martial Trust
Class B Common^F1	Jul 12, 2016	W	603	$0.00	A	202,339	I	OB2 Marital Trust
Class A Common^F2	Jul 12, 2016	W	12	$0.00	A	12	I	OB2 Reverse QTIP Trust
Class B Common^F2	Jul 12, 2016	W	8	$0.00	A	51,448	I	OB2 Reverse QTIP Trust
Class A Common	Jul 12, 2016	W	897	$0.00	D	0	I	Owsley Brown II Estate
Class B Common	Jul 12, 2016	W	611	$0.00	D	0	I	Owsley Brown II Estate
Class A Common	holding	—	—		—	517,105	D
Class B Common^F3	holding	—	—		—	52,591	D
Class B Common^F3	holding	—	—		—	55,746	I	ABH GRAT 2007
Class B Common^F4	holding	—	—		—	962	I	Holland Family Trust
Class A Common	holding	—	—		—	115,886	I	Trust fbo Children
Class B Common	holding	—	—		—	96,196	I	Trust fbo Children
Class A Common	holding	—	—		—	2,742	I	Trust fbo Child-3
Class A Common	holding	—	—		—	241,142	I	ABH GRAT 2007
Class A Common	holding	—	—		—	18	I	Eleanor Lee Trusts
Class B Common	holding	—	—		—	5,109	I	Trust fbo Augusta Holland
Class B Common	holding	—	—		—	95,485	I	OB3 GST Exempt Trust
Class A Common	holding	—	—		—	316,837	I	Hebe Three Limited Partnership
Class A Common	holding	—	—		—	20,439	I	Trust fbo Augusta Holland

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F5,F6	—	holding	—	—	—	—	—	Class A Common	592	592	D

Explanation of responses

F1Formerly known as the GST Non-Exempt QTIP Trust.
F2Formerly known as the GST Exempt QTIP Trust.
F3Totals updated to reflect distribution of 555 Class B shares by GRAT to direct holdings on April 1, 2016.
F4Total updated to correct prior error.
F5Under the Brown-Forman 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 creditied 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.