SEC Form 4 · accession 0000014693-16-000217
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Matthew E Hamel
Officer — EVP, Gen Counsel and Secretary
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 3:07 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 CommonF1 | Jul 28, 2016 | M | 3,800 | $33.65 | A | 5,306 | D | |
| Class B CommonF2,F1 | Jul 28, 2016 | F | 2,323 | $98.01 | D | 2,983 | D | |
| Class A Common | holding | — | — | — | 10,633 | D | ||
| Class A CommonF3 | holding | — | — | — | 608 | I | DRIP | |
| Class B CommonF4 | holding | — | — | — | 36 | I | ESPP | |
| Class B CommonF5 | holding | — | — | — | 5,404 | 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 RightF6 | $98.01 | Jul 28, 2016 | A | 22,172 | A | May 1, 2019 | Apr 30, 2026 | Class B Common | 22,172 | 22,172 | D |
| Stock Appreciation Right | $33.65 | Jul 28, 2016 | M | 3,800 | D | May 1, 2010 | Apr 30, 2017 | Class B Common | 3,800 | 11,359 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | May 1, 2011 | Apr 30, 2018 | Class B Common | 14,647 | 14,647 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 29,998 | 29,998 | D |
| Stock Appreciation Right | $38.43 | holding | — | — | — | May 1, 2013 | Apr 30, 2020 | Class B Common | 25,177 | 25,177 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 23,942 | 23,942 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 22,195 | 22,195 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 16,847 | 16,847 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 13,222 | 13,222 | D |
| Stock Appreciation Right | $102.25 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 15,084 | 15,084 | D |
Explanation of responses
- F1On July 7, 2016, the reporting person transferred 1,506.0997 shares from his ESPP account to direct holdings.
- F2The closing price of BF-B on July 28, 2016, was used to calculate the withholding obligation.
- F3Number of shares acquired through the issuer's dividend reinvestment plan as of July 27, 2016.
- F4Number of shares acquired through the issuer's employee stock purchase program as of July 27, 2016. Total has been updated to reflect the transfer of 1,506.0997 shares from the ESPP to the reporting person's direct holdings on July 7, 2016.
- F5Number of shares acquired through the issuer's 401(k) plan as of July 27, 2016.
- F6No money was paid to or received by the reporting person for these SSARs.