SEC Form 4 · accession 0000014693-16-000205

BROWN FORMAN CORP · BF-A

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

Reporting owner

Officer — Executive Vice President

Period of report

Jul 28, 2016

Accepted (ET)

Aug 1, 2016 · 2:49 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	—	—	—	20,936	D
Class A Common^F1	holding	—	—	—	2,684	I	ESPP
Class A Common	holding	—	—	—	224	I	DRIP
Class B Common	holding	—	—	—	19,863	D
Class B Common	holding	—	—	—	7,429	I	By 401k
Class B Common	holding	—	—	—	313	I	ESPP
Class B Common	holding	—	—	—	45	I	Trust fbo Child-1
Class B Common	holding	—	—	—	45	I	Trust fbo Child-2

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	14,665	A	May 1, 2019	Apr 30, 2026	Class B Common	14,665	14,665	D
Stock Appreciation Right	$46.40	holding	—	—	—	May 1, 2014	Apr 30, 2021	Class B Common	16,759	16,759	D
Stock Appreciation Right	$58.70	holding	—	—	—	May 1, 2015	Apr 30, 2022	Class B Common	11,098	11,098	D
Stock Appreciation Right	$72.42	holding	—	—	—	May 1, 2016	Apr 30, 2023	Class B Common	9,771	9,771	D
Stock Appreciation Right	$91.97	holding	—	—	—	May 1, 2017	Apr 30, 2024	Class B Common	10,222	10,222	D
Stock Appreciation Right	$102.25	holding	—	—	—	May 1, 2018	Apr 30, 2025	Class B Common	12,592	12,592	D

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