SEC Form 4 · accession 0000014693-17-000008
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew E Hamel
Officer — EVP, Gen Counsel and Secretary
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 2:21 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 B Common | Jan 31, 2017 | M | 7,559 | $16.825 | A | 16,064 | D | |
| Class B CommonF1 | Jan 31, 2017 | F | 4,573 | $45.48 | D | 11,491 | D | |
| Class A Common | holding | — | — | — | 22,482 | D | ||
| Class B CommonF2 | holding | — | — | — | 10,943 | I | By 401k | |
| Class A CommonF3 | holding | — | — | — | 0 | I | DRIP | |
| Class B CommonF4 | holding | — | — | — | 462 | I | ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $16.825 | Jan 31, 2017 | M | 7,559 | D | May 1, 2010 | Apr 30, 2017 | Class B Common | 7,559 | 7,559 | D |
| Stock Appreciation Right | $17.755 | holding | — | — | — | May 1, 2011 | Apr 30, 2018 | Class B Common | 29,294 | 29,294 | D |
| Stock Appreciation Right | $13.525 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 59,996 | 59,996 | D |
| Stock Appreciation Right | $19.215 | holding | — | — | — | May 1, 2013 | Apr 30, 2020 | Class B Common | 50,354 | 50,354 | D |
| Stock Appreciation Right | $23.20 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 47,884 | 47,884 | D |
| Stock Appreciation Right | $29.35 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 44,390 | 44,390 | D |
| Stock Appreciation Right | $36.21 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 33,694 | 33,694 | D |
| Stock Appreciation Right | $45.985 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 26,444 | 26,444 | D |
| Stock Appreciation Right | $51.125 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 30,168 | 30,168 | D |
| Stock Appreciation Right | $49.005 | holding | — | — | — | May 1, 2019 | Apr 30, 2026 | Class B Common | 44,344 | 44,344 | D |
| Stock Appreciation Right | $98.01 | holding | — | — | — | May 1, 2019 | Apr 30, 2026 | Class B Common | 22,172 | 22,172 | D |
Explanation of responses
- F1The closing price of BF-B on January 30, 2017 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's 401(k) plan as of January 31, 2017.
- F3Number of shares acquired through the issuer's dividend reinvestment plan as of January 31, 2017.
- F4Number of shares acquired through the issuer's employee stock purchase program as of January 31, 2017.