SEC Form 4 · accession 0000014693-16-000253

BROWN FORMAN CORP · BF-A

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

Reporting owner

10% Owner

Period of report

Dec 9, 2016

Accepted (ET)

Dec 13, 2016 · 4:23 pm EST

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	Dec 12, 2016	G	5,500	$0.00	D	3,704	D
Class A Common	Dec 9, 2016	P	1,865	$48.00	A	33,855	I	Williams Trust
Class B Common	holding	—	—		—	123,284	D
Class B Common	holding	—	—		—	102,751	I	By Brown Ventures, LLC
Class A Common	holding	—	—		—	1,961,790	I	By Brown Ventures, LLC
Class A Common	holding	—	—		—	22,920	I	By IRA
Class B Common	holding	—	—		—	27,690	I	by IRA
Class A Common	holding	—	—		—	363,880	I	By JMB Irrev Trust
Class A Common	holding	—	—		—	353,796	I	By MAE LLC
Class A Common	holding	—	—		—	434	I	By Spouse
Class B Common	holding	—	—		—	22,628	I	By Spouse
Class A Common	holding	—	—		—	101,408	I	By Spouse Irrev Trust
Class A Common	holding	—	—		—	7,850	I	By Spray Trust
Class A Common	holding	—	—		—	2,000	I	Crummey Trust
Class A Common	holding	—	—		—	193,396	I	Spouse GRAT
Class B Common	holding	—	—		—	2,040	I	Williams Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F2	—	holding	—	—	—	Apr 30, 2017	—	Class B Common	424	424	D
Restricted Stock Units^F1,F3	—	holding	—	—	—	Apr 30, 2018	—	Class B Common	342	342	D
Restricted Stock Units^F1,F4	—	holding	—	—	—	Apr 30, 2019	—	Class B Common	316	316	D

F1Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F2The restricted stock units were granted on July 25, 2013, and vest April 30, 2017.
F3The restricted stock units were granted on July 24, 2014, and vest April 30, 2018.
F4The restricted stock units were granted on July 23, 2015, and vest April 30, 2019.