SEC Form 4 · accession 0000014693-17-000073
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ralph E de Chabert
Officer — SVP, Chief Diversity Officer
Period of report
Apr 30, 2017
Accepted (ET)
May 2, 2017 · 8:05 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 CommonF1 | Apr 30, 2017 | M | 238 | $0.00 | A | 4,848 | D | |
| Class B CommonF2 | Apr 30, 2017 | F | 98 | $47.32 | D | 4,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1 | — | Apr 30, 2017 | M | 238 | D | Apr 30, 2017 | — | Class B Common | 238 | 0 | D |
Explanation of responses
- F1The Restricted Stock Units were granted on July 25, 2013, and vested April 30, 2017.
- F2The closing price of BF-B on April 28, 2017 was used to calculate the withholding obligation.
- F3Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.