SEC Form 4 · accession 0000014693-17-000041

BROWN FORMAN CORP · BF-A

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

Reporting owner

Campbell P Brown

Director

Period of report

Mar 23, 2017

Accepted (ET)

Mar 27, 2017 · 8:24 pm EDT

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^F1	Sep 13, 2016	G	1,200	$0.00	D	625,135	D
Class A Common^F2	Feb 13, 2017	G	1,150	$0.00	D	1,609,476	D
Class A Common^F3	Feb 13, 2017	G	575	$0.00	A	17,159	I	Trust FBO Geo Garvin Brown IV
Class A Common^F4,F5	Mar 23, 2017	J	3,000,000	—	D	963,536	I	Brown Barker 2013 LLC
Class A Common^F6	holding	—	—		—	1,059,108	I	CPB 2010 #1 LLC
Class A Common^F7	holding	—	—		—	142,500	I	Trust FBO Campbell P. Brown
Class A Common^F7	holding	—	—		—	142,500	I	Trust FBO Geo Garvin Brown IV (Irrev)
Class B Common^F8	holding	—	—		—	540,883	I	Brown Barker 2013 LLC
Class B Common^F9	holding	—	—		—	15,737	I	By 401k
Class B Common^F10	holding	—	—		—	0	I	CBGB LLC
Class B Common^F11	holding	—	—		—	36	I	Child #1
Class B Common^F11	holding	—	—		—	36	I	Child #2
Class B Common^F12	holding	—	—		—	48,435	I	CPB 2010 #2 LLC
Class B Common^F13	holding	—	—		—	9,388	I	ESPP
Class B Common^F14	holding	—	—		—	2,706	I	Trust FBO Geo Garvin Brown IV

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F16,F15	—	holding	—	—	—	May 1, 2017	—	Class B Common	1,726	1,726	D
Restricted Stock Units^F18,F17	—	holding	—	—	—	May 1, 2018	—	Class B Common	952	952	D
Restricted Stock Units^F20,F19	—	holding	—	—	—	May 1, 2019	—	Class B Common	2,916	2,916	D
Stock Appreciation Right^F21	$16.88	holding	—	—	—	Jul 26, 2007	Apr 30, 2017	Class B Common	3,748	3,748	D
Stock Appreciation Right^F22	$17.755	holding	—	—	—	Jul 24, 2008	Apr 30, 2018	Class B Common	3,438	3,438	D
Stock Appreciation Right^F23	$19.215	holding	—	—	—	Jul 22, 2010	Apr 30, 2020	Class B Common	1,774	1,774	D
Stock Appreciation Right^F24	$45.985	holding	—	—	—	Jul 24, 2014	Apr 30, 2024	Class B Common	2,224	2,224	D
Stock Appreciation Right^F25	$49.005	holding	—	—	—	May 1, 2019	Apr 30, 2026	Class B Common	5,702	5,702	D

Explanation of responses

F1On August 18, 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 311,794 additional shares. Total also updated to reflect the acquisition of 2,747 additional shares resulting from the dissolution of CBGB LLC on September 14, 2016, and to correct prior reporting error.
F10Reflects the acquisition of 2,746 additional shares in the August 2016 stock split. Total also updated to reflect the distribution of all shares on September 14, 2016.
F11Reflects the acquisition of 18 additional shares in the August 2016 stock split.
F12Reflects the acquisition of 24,218 additional shares in the August 2016 stock split.
F13Number of shares acquired through the issuer's employee stock purchase program as of March 27, 2017. Total also updated to reflect shares acquired in August 2016 stock split.
F14Reflects the acquisition of 1,353 additional shares in the August 2016 stock split.
F15The restricted stock units vest May 1, 2017
F16Reflects the acquisition of 863 additional restricted stock units in the August 2016 stock split.
F17The restricted stock units vest May 1, 2018.
F18Reflects the acquisition of 476 additional restricted stock units in the August 2016 stock split.
F19The restricted stock units vest May 1, 2019.
F2Reflects the acquisition of 805,313 additional shares in the August 2016 stock split.
F20Reflects the acquisition of 1,458 additional restricted stock units in the August 2016 stock split.
F21These SSARs were previously reported as covering 1,874 shares at an exercise price of $33.76.
F22These SSARs were previously reported as covering 1,719 shares at an exercise price of $35.51.
F23These SSARs were previously reported as covering 887 shares at an exercise price of $38.43.
F24These SSARs were previously reported as covering 1,112 shares at an exercise price of $91.97.
F25These SSARs were previously reported as covering 2,851 shares at an exercise price of $98.01.
F3Reflects the acquisition of 8,042 additional shares in the August 2016 stock split and total corrected as a result of a prior reporting error.
F4Reflects contribution of shares to a limited liability company.
F5Reflects the acquisition of 1,981,768 additional shares in the August 2016 stock split.
F6Reflects the acquisition of 529,554 additional shares in the August 2016 stock split.
F7Reflects the acquisition of 71,250 additional shares in the August 2016 stock split.
F8Reflects the acquisition of 270,442 additional shares in the August 2016 stock split.
F9Total updated to reflect shares acquired in the August 2016 stock split.