SEC Form 4 · accession 0000014693-17-000125

BROWN FORMAN CORP · BF-A

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Stuart R Brown

Director

Period of report

Dec 21, 2015

Accepted (ET)

Jun 14, 2017 · 6:09 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 A Common	Jan 7, 2016	G	265	$0.00	A	156,228	D
Class A Common	Jan 8, 2016	G	4	$0.00	A	156,232	D
Class A Common^F1	Aug 11, 2016	G	51,135	$0.00	A	414,734	D
Class A Common	Jan 12, 2017	G	602	$0.00	A	415,336	D
Class A Common	Feb 15, 2017	G	2,300	$0.00	D	413,036	D
Class A Common	Jan 7, 2016	G	265	$0.00	A	1,076	I	Child-1 account
Class A Common	Jan 8, 2016	G	4	$0.00	A	1,080	I	Child-1 account
Class A Common^F2	Jan 12, 2017	G	602	$0.00	A	2,762	I	Child-1 account
Class A Common	Feb 15, 2017	G	575	$0.00	A	3,337	I	Child-1 account
Class A Common^F3	May 24, 2016	J	114,151	$0.00	A	228,302	I	SKCJ Investments LLC
Class A Common	Jan 12, 2017	G	602	$0.00	A	602	I	Child-2 account
Class A Common	Feb 15, 2017	G	575	$0.00	A	1,177	I	Child-2 account
Class B Common^F4	Aug 11, 2016	G	72,684	$0.00	A	207,680	D
Class B Common	Dec 21, 2015	G	270	$0.00	A	3,115	I	By Spouse
Class B Common	Dec 24, 2015	G	6	$0.00	A	3,121	I	By Spouse
Class B Common^F5	Dec 16, 2016	G	309	$0.00	A	6,551	I	By Spouse
Class B Common	Dec 22, 2016	G	307	$0.00	A	6,858	I	By Spouse
Class B Common^F6	Apr 12, 2016	S	150	$95.76	D	9,918	I	2015 Trust
Class B Common^F7	May 24, 2016	J	27,657	$0.00	A	55,314	I	SKCJ Investments LLC
Class A Common^F8	holding	—	—		—	40,878	I	2015 Trust
Class A Common^F9	holding	—	—		—	36,104	I	Hedge Street Partners LLC
Class B Common^F10	holding	—	—		—	9,024	I	Hedge Street Partners LLC

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 207,367 additional shares.
F10Reflects the acquisition of 4,512 additional shares in the August 2016 stock split.
F2Reflects the acquisition of 1,080 additional shares in the August 2016 stock split.
F3Reflects the acquisition of 114,151 additional shares in the August 2016 stock split.
F4Reflects the acquisiton of 103,840 additional shares in the August 2016 stock split.
F5Reflects the acquisition of 3,121 additional shares in the August 2016 stock split.
F6Reflects the acquisition of 5,109 additional shares in the August 2016 stock split.
F7Reflects the acquisition of 27,657 additional shares in the August 2016 stock split.
F8Reflects the acquisition of 20,439 additional shares in the August 2016 stock split.
F9Reflects the acquisition of 18,052 additional shares in the August 2016 stock split.

Remarks

The reporting person disclaims beneficial ownership of shares held by entities set forth on this form except to the extent of his pecuniary interest therein. The reporting person is no longer reporting beneficial ownership of shares held by the following entities because he does not have a pecuniary interest in them: WL Lyons Brown Jr. 2012 Irrevocable Trust; Olympus One LLC; WL Lyons Brown 2002 GRAT and Trust u/w WL Lyons Brown Sr.