SEC Form 4 · accession 0000014693-16-000199
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirsten M Hawley
Officer — SVP, Chief HR Officer
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 2:43 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 | — | — | — | 473 | D | ||
| Class A CommonF1 | holding | — | — | — | 7 | I | DRIP | |
| Class B Common | holding | — | — | — | 993 | D | ||
| Class B CommonF2 | holding | — | — | — | 1,998 | I | By 401k |
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 | 6,984 | A | May 1, 2019 | Apr 30, 2026 | Class B Common | 6,984 | 6,984 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 1,960 | 1,960 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 2,518 | 2,518 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 2,223 | 2,223 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 5,509 | 5,509 | D |
Explanation of responses
- F1Number of shares acquired through the issuer's dividend reinvestment plan as of July 27, 2016.
- F2Number of shares acquired through the issuer's 401(k) plan as of July 27, 2016.
- F3No money was paid to or received by the reporting person for these SSARs.