SEC Form 4 · accession 0000014693-16-000223

BROWN FORMAN CORP · BF-A

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

Reporting owner

Augusta Brown Holland

Director · 10% Owner

Period of report

Jul 28, 2016

Accepted (ET)

Aug 1, 2016 · 3:33 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	—	—	—	517,105	D
Class A Common	holding	—	—	—	12	I	OB2 Reverse QTIP Trust
Class A Common	holding	—	—	—	2,742	I	Trust fbo Child-3
Class A Common	holding	—	—	—	20,687	I	CLB Trust fbo Cora Holland
Class A Common	holding	—	—	—	241,142	I	ABH GRAT 2007
Class A Common	holding	—	—	—	18	I	Eleanor Lee Trusts
Class B Common	holding	—	—	—	5,109	I	Trust fbo Augusta Holland
Class B Common	holding	—	—	—	12,244	I	CLB Trust fbo Owsley Holland
Class A Common	holding	—	—	—	21,728	I	CLB Trust fbo Lilla Holland
Class B Common	holding	—	—	—	95,485	I	OB3 GST Exempt Trust
Class B Common	holding	—	—	—	202,339	I	OB2 Marital Trust
Class B Common	holding	—	—	—	52,591	D
Class A Common	holding	—	—	—	885	I	OB2 Martial Trust
Class A Common	holding	—	—	—	316,837	I	Hebe Three Limited Partnership
Class A Common	holding	—	—	—	20,439	I	Trust fbo Augusta Holland
Class B Common	holding	—	—	—	546	I	Hebe Exempt Trust
Class B Common	holding	—	—	—	12,244	I	CLB Trust fbo Lilla Holland
Class B Common	holding	—	—	—	11,334	I	CLB Trust fbo Cora Holland
Class B Common	holding	—	—	—	174,280	I	Trust fbo Barzun Children
Class A Common	holding	—	—	—	115,886	I	Trust fbo Children
Class A Common	holding	—	—	—	21,728	I	CLB Trust fbo Owsley Holland
Class B Common	holding	—	—	—	51,448	I	OB2 Reverse QTIP Trust
Class B Common	holding	—	—	—	910	I	Trust fbo Child-1
Class A Common	holding	—	—	—	30,472	I	OB3 GST Exempt Trust
Class A Common	holding	—	—	—	3,330,115	I	Olympus Three LLC
Class B Common	holding	—	—	—	215,284	I	Hebe Three Limited Partnership
Class B Common	holding	—	—	—	45,671	I	CLB 2012 Trust
Class B Common	holding	—	—	—	20,805	I	CLB Grandchildren Eq. Tr.
Class B Common	holding	—	—	—	6,703,641	I	Olympus Three LLC

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Units^F1,F2	—	Jul 28, 2016	A	1,094	A	—	—	Class A Common	1,094	1,691	D

Explanation of responses

F1Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 28, 2016, were based on the closing price of the Company's Class A common stock on that date ($XXX.XX). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits.
F2Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the director's termination from Board service.