SEC Form 4 · accession 0000014693-16-000189
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Campbell P Brown
Director
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 2:34 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 | holding | — | — | — | 805,313 | D | ||
| Class B Common | holding | — | — | — | 312,208 | D | ||
| Class A Common | holding | — | — | — | 1,981,768 | I | Brown Barker 2013 LLC | |
| Class B Common | holding | — | — | — | 270,442 | I | Brown Barker 2013 LLC | |
| Class B CommonF1 | holding | — | — | — | 7,869 | I | By 401k | |
| Class B Common | holding | — | — | — | 2,746 | I | CBGB LLC | |
| Class B Common | holding | — | — | — | 18 | I | Child #1 | |
| Class B Common | holding | — | — | — | 18 | I | Child #2 | |
| Class A Common | holding | — | — | — | 529,554 | I | CPB 2010 #1 LLC | |
| Class B Common | holding | — | — | — | 24,218 | I | CPB 2010 #2 LLC | |
| Class B CommonF2 | holding | — | — | — | 4,633 | I | ESPP | |
| Class A Common | holding | — | — | — | 71,250 | I | Trust FBO Campbell P. Brown | |
| Class A Common | holding | — | — | — | 5,266 | I | Trust FBO Child #1 | |
| Class B Common | holding | — | — | — | 1,950 | I | Trust FBO Child #1 | |
| Class A Common | holding | — | — | — | 5,296 | I | Trust FBO Child #2 | |
| Class B Common | holding | — | — | — | 1,950 | I | Trust FBO Child #2 | |
| Class A Common | holding | — | — | — | 8,042 | I | Trust FBO Geo Garvin Brown IV | |
| Class B Common | holding | — | — | — | 1,353 | I | Trust FBO Geo Garvin Brown IV | |
| Class A Common | holding | — | — | — | 71,250 | I | Trust FBO Geo Garvin Brown IV (Irrev) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF3 | $98.01 | Jul 28, 2016 | A | 2,851 | A | May 1, 2019 | Apr 30, 2026 | Class B Common | 2,851 | 2,851 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | May 1, 2017 | — | Class B Common | 863 | 863 | D |
| Restricted Stock UnitsF5 | — | holding | — | — | — | May 1, 2018 | — | Class B Common | 476 | 476 | D |
| Restricted Stock UnitsF6 | — | holding | — | — | — | May 1, 2019 | — | Class B Common | 1,458 | 1,458 | D |
| Stock Appreciation Right | $33.76 | holding | — | — | — | Jul 26, 2007 | Apr 30, 2017 | Class B Common | 1,874 | 1,874 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | Jul 24, 2008 | Apr 30, 2018 | Class B Common | 1,719 | 1,719 | D |
| Stock Appreciation Right | $38.43 | holding | — | — | — | Jul 22, 2010 | Apr 30, 2020 | Class B Common | 887 | 887 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | Jul 24, 2014 | Apr 30, 2024 | Class B Common | 1,112 | 1,112 | D |
Explanation of responses
- F1Number of shares acquired through the issuer's 401(k) plan as of July 27, 2016.
- F2Number of shares acquired through the issuer's employee stock purchase program as of July 27, 2016.
- F3No money was paid to or received by the reporting person for these SSARs.
- F4The restricted stock units vest May 1, 2017.
- F5The restricted stock units vest May 1, 2018.
- F6The restricted stock units vest May 1, 2019.