SEC Form 4 · accession 0000014693-17-000059
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
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 7:46 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 28, 2017 | M | 7,559 | $16.825 | A | 19,050 | D | |
| Class B CommonF1 | Apr 28, 2017 | F | 4,440 | $46.78 | D | 14,610 | D | |
| Class A CommonF2,F3 | Apr 30, 2017 | F | 1,073 | $48.06 | D | 21,409 | D | |
| Class B CommonF4 | holding | — | — | — | 11,280 | I | By 401k | |
| Class B CommonF5 | holding | — | — | — | 658 | I | ESPP | |
| Class A CommonF6 | holding | — | — | — | 0 | I | DRIP |
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 | Apr 28, 2017 | M | 7,559 | D | May 1, 2010 | Apr 30, 2017 | Class B Common | 7,559 | 0 | D |
Explanation of responses
- F1The closing price of BF-B on April 27, 2017 was used to calculate the withholding obligation.
- F2To satisfy withholding obligations associated with the July 25, 2013 award of Class A common stock that vested on April 30, 2017, the reporting person surrendered 1,073 shares of Class A common stock.
- F3The closing price of BF-A ($48.06) on April 28, 2017, was used to calculate the withholding obligation.
- F4Number of shares acquired through the issuer's 401(k) plan as of April 27, 2017.
- F5Number of shares acquired through the issuer's employee stock purchase program as of April 26, 2017.
- F6Number of shares acquired through the issuer's dividend reinvestment plan as of April 26, 2017.