SEC Form 4 · accession 0000014693-16-000197
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marshall Farrer
Director
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 2:41 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 | — | — | — | 315 | D | ||
| Class B Common | holding | — | — | — | 116 | D | ||
| Class A Common | holding | — | — | — | 2,379 | I | Albrecht Trust | |
| Class A Common | holding | — | — | — | 1,758 | I | Garvin Brown II Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1 | $98.01 | Jul 28, 2016 | A | 1,292 | A | May 1, 2019 | Apr 30, 2026 | Class B Common | 1,292 | 1,292 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | May 1, 2017 | — | Class B Common | 296 | 296 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | May 1, 2018 | — | Class B Common | 381 | 381 | D |
| Stock Appreciation Right | $33.76 | holding | — | — | — | Jul 26, 2007 | Apr 30, 2017 | Class B Common | 2,110 | 2,110 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | Jul 24, 2008 | Apr 30, 2018 | Class B Common | 2,422 | 2,422 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | Jul 23, 2009 | Apr 30, 2019 | Class B Common | 2,378 | 2,378 | D |
| Stock Appreciation Right | $38.43 | holding | — | — | — | Jul 22, 2010 | Apr 30, 2020 | Class B Common | 3,544 | 3,544 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | Jul 28, 2011 | Apr 30, 2021 | Class B Common | 1,537 | 1,537 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | Jul 26, 2012 | Apr 30, 2022 | Class B Common | 2,329 | 2,329 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | Jul 23, 2015 | Apr 30, 2025 | Class B Common | 1,890 | 1,890 | D |
Explanation of responses
- F1No money was paid to or received by the reporting person for these SSARs.
- F2The restricted stock units vest May 1, 2017.
- F3The restricted stock units vest May 1, 2018.