SEC Form 4 · accession 0000014693-17-000077
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 30, 2017
Accepted (ET)
May 2, 2017 · 8:13 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 | 592 | $0.00 | A | 2,333 | D | |
| Class B CommonF2 | Apr 30, 2017 | F | 207 | $47.32 | D | 2,126 | 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,F4 | — | Apr 30, 2017 | M | 592 | D | May 1, 2017 | — | Class B Common | 592 | 0 | D |
Explanation of responses
- F1The Restricted Stock Units were granted on July 25, 2013, and vested on 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 Class B common stock.
- F4Reflects the acquisition of 296 additional units in the August 2016 stock split.
Remarks
The reporting person is no longer reporting beneficial ownership of shares held by Madison Land, LLC because he does not have a pecuniary interest in them