SEC Form 4 · accession 0000014693-16-000265

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

Dec 22, 2016

Accepted (ET)

Dec 27, 2016 · 6:05 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^F1	Oct 10, 2016	G	283	$0.00	A	1,034,493	D
Class A Common	Oct 10, 2016	G	1,792	$0.00	D	1,032,701	D
Class A Common^F2	Oct 10, 2016	G	283	$0.00	A	5,033	I	By Spouse
Class A Common^F3	Oct 10, 2016	G	1,801	$0.00	A	12,517	I	OB3 GST Non-Exempt Trust
Class A Common^F4	Oct 10, 2016	G	1,801	$0.00	A	255,563	I	Trust fbo Barzun Children
Class A Common^F5	Oct 10, 2016	G	283	$0.00	A	7,849	I	Trust fbo Child-1
Class A Common^F6	Oct 10, 2016	G	283	$0.00	A	5,767	I	Trust fbo Child-2
Class A Common^F6	Oct 10, 2016	G	283	$0.00	A	5,767	I	Trust fbo Child-3
Class A Common^F7	Oct 10, 2016	G	1,792	$0.00	A	233,564	I	Trust fbo Children
Class A Common^F9	Dec 22, 2016	J	115,020	$46.51	A	175,964	I	OB3 GST Exempt Trust
Class B Common^F10	holding	—	—		—	109,198	D
Class A Common^F11	holding	—	—		—	84,308	I	ABH GRAT 2011
Class A Common^F12	holding	—	—		—	482,284	I	ABH GRAT 2007
Class B Common^F13	holding	—	—		—	107,476	I	ABH GRAT 2007
Class B Common^F14	holding	—	—		—	4,712	I	By Spouse
Class A Common^F15	holding	—	—		—	4,580	I	CLB 2012 Trust
Class B Common^F16	holding	—	—		—	91,342	I	CLB 2012 Trust
Class A Common^F17	holding	—	—		—	62,984	I	CLB Grandchildren Eq. Tr.
Class B Common^F18	holding	—	—		—	41,610	I	CLB Grandchildren Eq. Tr.
Class B Common^F19,F20	holding	—	—		—	22,668	I	CLB Trust fbo Child-1
Class B Common^F21,F22	holding	—	—		—	24,488	I	CLB Trust fbo Child-2
Class A Common^F23,F24	holding	—	—		—	43,456	I	CLB Trust fbo Child-3
Class B Common^F21,F24	holding	—	—		—	24,488	I	CLB Trust fbo Child-3
Class A Common^F25,F20	holding	—	—		—	41,374	I	CLB Trust fbo Child-1
Class A Common^F23,F22	holding	—	—		—	43,456	I	CLB Trust fbo Child-2
Class B Common^F26	holding	—	—		—	25,790	I	Eleanor Lee Trusts
Class A Common^F27	holding	—	—		—	36	I	Eleanor Lee Trusts
Class B Common^F28	holding	—	—		—	1,092	I	Hebe Exempt Trust

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 517,105 additional shares.
F10Reflects the acquisition of 52,591 additional shares in the August 2016 stock split. Also updated to reflect transfer of 4,016 shares from GRAT on October 10, 2016.
F11Reflects the acquisition of 42,154 additional shares in the August 2016 stock split.
F12Reflects the acquisition of 241,142 additional shares in the August 2016 stock split.
F13Reflects the acquisition of 55,746 additional shares in the August 2016 stock split. Also updated to reflect transfer of 4,016 shares to direct holdings on October 10, 2016.
F14Reflects the acquisition of 2,356 additional shares in the August 2016 stock split.
F15Reflects the acquisition of 2,290 additional shares in the August 2016 stock split.
F16Reflects the acquisition of 45,671 additional shares in the August 2016 stock split.
F17Reflects the acquisition of 31,492 additional shares in the August 2016 stock split.
F18Reflects the acquisition of 20,805 additional shares in the August 2016 stock split.
F19Reflects the acquisition of 11,334 additional shares in the August 2016 stock split.
F2Reflects the acquisition of 2,375 additional shares in the August 2016 stock split.
F20Formerly known as CLB Trust fbo Cora Holland.
F21Reflects the acquisition of 12,244 additional shares in the August 2016 stock split.
F22Formerly known as CLB Trust fbo Lilla Holland.
F23Reflects the acquisition of 21,728 additional shares in the August 2016 stock split.
F24Formerly known as CLB Trust fbo Owsley Holland.
F25Reflects the acquisition of 20,687 additional shares in the August 2016 stock split.
F26Reflects the acquisition of 12,895 additional shares in the August 2016 stock split.
F27Reflects the acquisition of 18 additional shares in the August 2016 stock split.
F28Reflects the acquisition of 546 additional shares in the August 2016 stock split.
F3Reflects the acquisition of 5,358 additional shares in the August 2016 stock split.
F4Reflects the acquisition of 126,881 additional shares in the August 2016 stock split.
F5Reflects the acquisition of 3,783 additional shares in the August 2016 stock split.
F6Reflects the acquisition of 2,742 additional shares in the August 2016 stock split.
F7Reflects the acquisition of 115,886 additional shares in the August 2016 stock split.
F8On December 22, 2016, a limited partnership transferred 115,020 Class A shares to the OB3 GST Exempt Trust as a redemption of the trust's interest in the partnership.
F9Reflects the acquisition of 30,472 additional shares in the August 2016 stock split.

Remarks

1st of 2 Forms