SEC Form 4 · accession 0000014693-18-000006
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John V. Hayes
Officer — SVP, Chief Marketing Officer
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 9:52 pm EST
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 | Jan 2, 2018 | M | 3,500 | $17.755 | A | 11,109 | D | |
| Class B CommonF1 | Jan 2, 2018 | F | 1,921 | $68.67 | D | 9,188 | D | |
| Class B Common | Jan 2, 2018 | S | 1,579 | $67.71 | D | 7,609 | D | |
| Class B Common | holding | — | — | — | 10,572 | I | Hayes Investments LLC | |
| Class B CommonF2 | holding | — | — | — | 5,894 | I | By 401k | |
| Class B CommonF3 | holding | — | — | — | 4 | I | ESPP |
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 | $17.755 | Jan 2, 2018 | M | 3,500 | D | May 1, 2011 | Apr 30, 2018 | Class B Common | 3,500 | 13,426 | D |
Explanation of responses
- F1The closing price of BF-B on December 29, 2017 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's 401(k) plan as of January 2, 2018.
- F3Number of shares acquired through the issuer's employee stock purchase program as of January 2, 2018.