SEC Form 4 · accession 0000014693-17-000083
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Campbell P Brown
Director
Period of report
Apr 21, 2017
Accepted (ET)
May 2, 2017 · 8:33 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 21, 2017 | M | 3,748 | $16.88 | A | 628,883 | D | |
| Class B CommonF1 | Apr 21, 2017 | F | 2,246 | $46.12 | D | 626,637 | D | |
| Class B CommonF2 | Apr 30, 2017 | M | 1,726 | $0.00 | A | 628,363 | D | |
| Class B CommonF3 | Apr 30, 2017 | F | 614 | $47.32 | D | 627,749 | D | |
| Class B Common | holding | — | — | — | 540,883 | I | Brown Barker 2013 LLC | |
| Class B CommonF4 | holding | — | — | — | 16,185 | I | By 401k | |
| Class B Common | holding | — | — | — | 36 | I | Child #1 | |
| Class B Common | holding | — | — | — | 36 | I | Child #2 | |
| Class B Common | holding | — | — | — | 48,435 | I | CPB 2010 #2 LLC | |
| Class B CommonF5 | holding | — | — | — | 9,432 | I | ESPP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F2 | — | Apr 21, 2017 | M | 1,726 | D | May 1, 2017 | — | Class B Common | 1,726 | 0 | D |
| Stock Appreciation Right | $16.88 | Apr 30, 2017 | M | 3,748 | D | Jul 26, 2007 | Apr 30, 2017 | Class B Common | 3,748 | 0 | D |
Explanation of responses
- F1The closing price of BF-B on April 20, 2017 was used to calculate the withholding obligation.
- F2The Restricted Stock Units were granted on July 25, 2013, and vested on April 30, 2017.
- F3The closing price of BF-B on April 28, 2017 was used to calculate the withholding obligation.
- F4Number of shares acquired through the issuer's 401(k) plan as of May 2, 2017.
- F5Number of shares acquired through the issuer's employee stock purchase program as of May 2, 2017.
- F6Each restricted stock unit represents a contingent right to recive one share of Brown-Forman Class B common stock.
Remarks
The reporting person is no longer reporting beneficial ownership of shares held by Trust fbo Geo. Garvin Brown IV, Trust fbo Child #1, and Trust fbo Child #2 because he does not have a pecuniary interest in them.