SEC Form 4 · accession 0000014693-17-000055
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marshall Farrer
Director
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 2:34 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 13, 2017 | M | 4,220 | $16.88 | A | 4,270 | D | |
| Class B CommonF1 | Apr 13, 2017 | F | 2,529 | $45.95 | D | 1,741 | D | |
| Class B Common | holding | — | — | — | 185,000 | I | Madison Land LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2 | $16.88 | Apr 13, 2017 | M | 4,220 | D | Jul 26, 2007 | Apr 30, 2017 | Class B Common | 4,220 | 0 | D |
Explanation of responses
- F1The closing price of BF-B on April 12, 2017 was used to calculate the withholding obligation.
- F2These stock appreciation rights were previously reported as covering 2,110 shares at an exercise price of $33.76, but were adjusted to reflect the August 2016 stock split.