SEC Form 4 · accession 0000014693-16-000193

BROWN FORMAN CORP · BF-A

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

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Jul 28, 2016

Accepted (ET)

Aug 1, 2016 · 2:37 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	—	—	—	92,396	D
Class A Common^F1	holding	—	—	—	1,053	I	DRIP
Class A Common	holding	—	—	—	222	I	PCV Investments LLC
Class A Common	holding	—	—	—	156,182	I	GRAT
Class B Common	holding	—	—	—	33,031	I	PCV Investments LLC
Class B Common	holding	—	—	—	47,902	I	GRAT
Class B Common	holding	—	—	—	20,000	I	Family Trust

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	107,542	A	May 1, 2019	Apr 30, 2026	Class B Common	107,542	107,542	D
Stock Appreciation Right	$46.40	holding	—	—	—	May 1, 2014	Apr 30, 2021	Class B Common	95,761	95,761	D
Stock Appreciation Right	$58.70	holding	—	—	—	May 1, 2015	Apr 30, 2022	Class B Common	92,514	92,514	D
Stock Appreciation Right	$72.42	holding	—	—	—	May 1, 2016	Apr 30, 2023	Class B Common	62,332	62,332	D
Stock Appreciation Right	$91.97	holding	—	—	—	May 1, 2017	Apr 30, 2024	Class B Common	61,023	61,023	D
Stock Appreciation Right	$102.25	holding	—	—	—	May 1, 2018	Apr 30, 2025	Class B Common	77,125	77,125	D

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