SEC Form 4 · accession 0000014693-16-000185

BROWN FORMAN CORP · BF-A

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

Reporting owner

Officer — EVP, Chief Financial Officer

Period of report

Jul 28, 2016

Accepted (ET)

Aug 1, 2016 · 2:27 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000014693

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Class A Common	holding	—	—	—	11,424	D
Class B Common^F1	holding	—	—	—	2,923	I	ESPP
Class B Common	holding	—	—	—	53	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right^F2	$98.01	Jul 28, 2016	A	20,741	A	May 1, 2019	Apr 30, 2026	Class B Common	20,741	20,741	D
Stock Appreciation Right	$35.51	holding	—	—	—	May 1, 2011	Apr 30, 2018	Class B Common	7,131	7,131	D
Stock Appreciation Right	$27.05	holding	—	—	—	May 1, 2012	Apr 30, 2019	Class B Common	11,463	11,463	D
Stock Appreciation Right	$38.43	holding	—	—	—	May 1, 2013	Apr 30, 2020	Class B Common	12,590	12,590	D
Stock Appreciation Right	$46.40	holding	—	—	—	May 1, 2014	Apr 30, 2021	Class B Common	14,365	14,365	D
Stock Appreciation Right	$58.70	holding	—	—	—	May 1, 2015	Apr 30, 2022	Class B Common	11,098	11,098	D
Stock Appreciation Right	$72.42	holding	—	—	—	May 1, 2016	Apr 30, 2023	Class B Common	9,266	9,266	D
Stock Appreciation Right	$91.97	holding	—	—	—	May 1, 2017	Apr 30, 2024	Class B Common	13,425	13,425	D
Stock Appreciation Right	$102.25	holding	—	—	—	May 1, 2018	Apr 30, 2025	Class B Common	13,379	13,379	D

F1Number of shares acquired through the issuer's employee stock purchase program as of July 27, 2016.
F2No money was paid to or received by the reporting person for these SSARs.