SEC Form 4 · accession 0000014693-16-000203
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralph E de Chabert
Officer — SVP, Chief Diversity Officer
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 2:47 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 B Common | holding | — | — | — | 407 | D |
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 | 3,216 | A | May 1, 2019 | Apr 30, 2026 | Class B Common | 3,216 | 3,216 | D |
| Restricted Stock UnitsF2,F3 | — | holding | — | — | — | Apr 30, 2017 | — | Class B Common | 119 | 119 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | Apr 30, 2018 | — | Class B Common | 143 | 143 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 590 | 590 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 1,717 | 1,717 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 577 | 577 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 667 | 667 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 2,808 | 2,808 | D |
Explanation of responses
- F1No money was paid to or received by the reporting person for these SSARs.
- F2Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- F3The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017. The vesting date shown in the table has been corrected.
- F4The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018. The vesting date shown in the table has been corrected.