SEC Form 5 · accession 0000014693-18-000092

BROWN FORMAN CORP · BF-A

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

Reporting owner

Augusta Brown Holland

Director

Period of report

Apr 30, 2018

Accepted (ET)

Jun 14, 2018 · 5:40 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	Oct 20, 2017	G	1,577	$0.00	D	1,016,124	D
Class A Common	Dec 28, 2017	G	211	$0.00	A	1,016,335	D
Class A Common	Dec 28, 2017	G	211	$0.00	A	5,244	I	By Spouse
Class A Common	Dec 28, 2017	G	211	$0.00	A	8,060	I	Trust fbo Child-1
Class A Common	Dec 28, 2017	G	211	$0.00	A	5,978	I	Trust fbo Child-2
Class A Common	Dec 28, 2017	G	211	$0.00	A	5,978	I	Trust fbo Child-3
Class A Common	holding	—	—		—	482,284	I	ABH GRAT 2007
Class A Common	holding	—	—		—	84,308	I	ABH GRAT 2011
Class A Common	holding	—	—		—	41,374	I	CLB Trust fbo Child-1
Class A Common	holding	—	—		—	43,456	I	CLB Trust fbo Child-2
Class A Common	holding	—	—		—	43,456	I	CLB Trust fbo Child-3
Class A Common	holding	—	—		—	40,878	I	Trust fbo Augusta Holland
Class B Common^F1	holding	—	—		—	418,059	D
Class B Common^F2	holding	—	—		—	245,916	I	ABH GRAT 2007
Class B Common^F3	holding	—	—		—	76,402	I	ABH GRAT 2011
Class B Common^F4	holding	—	—		—	7,201	I	By Spouse
Class B Common^F5	holding	—	—		—	38,678	I	CLB Trust fbo Child-1
Class B Common^F6	holding	—	—		—	41,474	I	CLB Trust fbo Child-2
Class B Common^F6	holding	—	—		—	41,474	I	CLB Trust fbo Child-3
Class B Common^F7,F8	holding	—	—		—	1,365	I	Hebe Exempt Trust fbo ABH
Class B Common^F9	holding	—	—		—	2,412	I	Holland Family Trust
Class B Common^F10	holding	—	—		—	4,290	I	Trust fbo Child-1
Class B Common^F11	holding	—	—		—	1,494	I	Trust fbo Child-2
Class B Common^F11	holding	—	—		—	1,494	I	Trust fbo Child-3
Class B Common^F12	holding	—	—		—	22,991	I	Trust fbo Augusta Holland

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1On February 28, 2018, the issuer completed a stock split resulting in the distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. On April 23, 2018, the issuer paid a special cash dividend. Total has been updated to reflect the acquisition of 292,941 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers from the ABH 2007 GRAT of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017, and a transfer to the ABH 2011 GRAT of 30,317 shares on May 14, 2018.
F10Total has been updated to reflect the acquisition of 2,470 additional shares in the February 2018 stock split.
F11These shares were acquired in the February 2018 stock split.
F12Total has been updated to reflect the acquisition of 12,773 additional shares in the February 2018 stock split.
F2Total has been updated to reflect the acquisition of 145,640 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers to the reporting person's direct holdings of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017.
F3Total has been updated to reflect the acquisition of 26,078 additional shares in the February 2018 stock split. Total has also been updated to reflect a transfer from the reporting person's direct holdings of 30,317 shares on May 14, 2018.
F4Total has been updated to reflect the acquisition of 2,489 additional shares in the February 2018 stock split.
F5Total has been updated to reflect the acquisition of 16,010 additional shares in the February 2018 stock split.
F6Total has been updated to reflect the acquisition of 16,986 additional shares in the February 2018 stock split.
F7Total has been updated to reflect the acquisition of 273 additional shares in the February 2018 stock split.
F8Previously reported as the Hebe Exempt Trust.
F9Total has been updated to reflect the acquisition of 482 additional shares in the February 2018 stock split.