SEC Form 4 · accession 0000014693-17-000053
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Garvin Brown IV
Director
Period of report
Apr 10, 2017
Accepted (ET)
Apr 11, 2017 · 5:05 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 | Apr 10, 2017 | M | 3,358 | $16.88 | A | 537,750 | D | |
| Class B CommonF1 | Apr 10, 2017 | F | 1,242 | $45.67 | D | 536,508 | D | |
| Class B Common | holding | — | — | — | 37,636 | I | 2010 GRAT | |
| Class B Common | holding | — | — | — | 17,253 | I | 2012 GRAT | |
| Class B CommonF2 | holding | — | — | — | 26,263 | I | By 401k | |
| Class B Common | holding | — | — | — | 7,390 | I | Crummey Trust | |
| Class B Common | holding | — | — | — | 156,600 | I | GGB4 2010#2 LLC | |
| Class B Common | holding | — | — | — | 510,337 | I | GGB4 2012 LP | |
| Class B Common | holding | — | — | — | 5,946 | I | Spouse's trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF3 | $16.88 | Apr 10, 2017 | M | 3,358 | D | May 1, 2010 | Apr 30, 2017 | Class B Common | 3,358 | 0 | D |
Explanation of responses
- F1The closing price of BF-B on April 7, 2017 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's 401(k) plan as of April 10, 2017.
- F3These stock appreciation rights were previously reported as covering 1,679 shares at an exercise price of $33.76, but were adjusted to reflect the August 2016 stock split.