SEC Form 4 · accession 0000014693-16-000266

BROWN FORMAN CORP · BF-A

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

Reporting owner

Brooke Brown Barzun

10% Owner

Period of report

Dec 22, 2016

Accepted (ET)

Dec 27, 2016 · 6:07 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	1,801	$0.00	D	472,375	D
Class A Common^F2	Oct 10, 2016	G	283	$0.00	A	411,337	I	BBB Revocable Trust
Class A Common^F3	Oct 10, 2016	G	283	$0.00	A	7,575	I	By Spouse
Class A Common^F4	Oct 10, 2016	G	1,801	$0.00	A	12,517	I	OB3 GST Non-Exempt Trust
Class A Common^F5	Oct 10, 2016	G	283	$0.00	A	9,763	I	Trust fbo Child-1
Class A Common^F6	Oct 10, 2016	G	283	$0.00	A	17,391	I	Trust fbo Child-2
Class A Common^F6	Oct 10, 2016	G	283	$0.00	A	17,391	I	Trust fbo Child-3
Class A Common^F8	Dec 22, 2016	J	115,020	$46.51	D	1,366,200	I	Guilford-Brown LP
Class A Common	Dec 22, 2016	J	643,090	$46.51	D	723,110	I	Guilford-Brown LP
Class A Common^F10	Dec 22, 2016	J	115,020	$46.51	A	175,964	I	OB3 GST Exempt Trust
Class B Common^F11	holding	—	—		—	54,762	D
Class B Common^F12	holding	—	—		—	45,794	I	BBB 2002 GRAT
Class A Common^F13	holding	—	—		—	253,896	I	BBB 2002 GRAT
Class A Common^F14	holding	—	—		—	19,626	I	BBB 2010 GRAT
Class B Common^F15	holding	—	—		—	8,450	I	BBB 2011 GRAT
Class A Common^F16	holding	—	—		—	83,496	I	BBB 2011 GRAT
Class B Common^F17	holding	—	—		—	34,500	I	BBB Revocable Trust
Class B Common^F18	holding	—	—		—	1,892	I	By Spouse
Class A Common^F19	holding	—	—		—	4,580	I	CLB 2012 Trust
Class B Common^F20	holding	—	—		—	91,342	I	CLB 2012 Trust
Class B Common^F21	holding	—	—		—	41,610	I	CLB Grandchildren Eq. Tr.
Class A Common^F22	holding	—	—		—	62,984	I	CLB Grandchildren Eq. Tr.
Class B Common^F23,F24	holding	—	—		—	23,498	I	CLB Trust fbo Child-1
Class A Common^F25,F24	holding	—	—		—	39,460	I	CLB Trust fbo Child-1
Class B Common^F26,F27	holding	—	—		—	21,590	I	CLB Trust fbo Child-2
Class A Common^F28,F27	holding	—	—		—	31,832	I	CLB Trust fbo Child-2
Class B Common^F26,F29	holding	—	—		—	21,590	I	CLB Trust fbo Child-3
Class A Common^F28,F29	holding	—	—		—	31,832	I	CLB Trust fbo Child-3

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 237,088 additional shares.
F10Reflects the acquisition of 30,472 additional shares in the August 2016 stock split.
F11Reflects the acquisition of 27,381 additional shares in the August 2016 stock split.
F12Reflects the acquisition of 22,897 additional shares in the August 2016 stock split.
F13Reflects the acquisition of 126,948 additional shares in the August 2016 stock split.
F14Reflects the acquisition of 9,813 additional shares in the August 2016 stock split.
F15Reflects the acquisition of 4,225 additional shares in the August 2016 stock split.
F16Reflects the acquisition of 41,748 additional shares in the August 2016 stock split.
F17Reflects the acquisition of 17,250 additional shares in the August 2016 stock split.
F18Reflects the acquisition of 946 additional shares in the August 2016 stock split.
F19Reflects the acquisition of 2,290 additional shares in the August 2016 stock split.
F2Reflects the acquisition of 205,527 additional shares in the August 2016 stock split.
F20Reflects the acquisition of 45,671 additional shares in the August 2016 stock split.
F21Reflects the acquisition of 20,805 additional shares in the August 2016 stock split.
F22Reflects the acquisition of 31,492 additional shares in the August 2016 stock split.
F23Reflects the acquisition of 11,749 additional shares in the August 2016 stock split.
F24Formerly known as CLB Trust fbo Charles Barzun.
F25Reflects the acquisition of 19,730 additional shares in the August 2016 stock split.
F26Reflects the acquisition of 10,795 additional shares in the August 2016 stock split.
F27Formerly known as CLB Trust fbo Eleanor Barzun.
F28Reflects the acquisition of 15,916 additional shares in the August 2016 stock split.
F29Formerly known as CLB Trust fbo Jacques Barzun.
F3Reflects the acquisition of 3,646 additional shares in the August 2016 stock split.
F4Reflects the acquisition of 5,358 additional shares in the August 2016 stock split.
F5Reflects the acquisition of 4,740 additional shares in the August 2016 stock split.
F6Reflects the acquisition of 8,554 additional shares in the August 2016 stock split.
F7On December 22, 2016, Guilford-Brown LP transferred 115,020 Class A shares to the OB3 GST Exempt Trust as a redemption of the trust's interest in the partnership.
F8Reflects the acquisition of 740,610 additional shares in the August 2016 stock split.
F9On December 22, 2016, Guilford-Brown LP transferred 643,090 Class A shares to a limited partner as a partial redemption of a limited partner's interest.

Remarks

1st of 2 Forms