SEC Form 3 · accession 0000014693-18-000095
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alejandro A Alvarez
Officer — SVP, CPO
Period of report
Jun 15, 2018
Accepted (ET)
Jun 21, 2018 · 7:07 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 | holding | — | — | — | 2,505 | D | ||
| Class B Common | holding | — | — | — | 1,274 | D | ||
| Class B Common | holding | — | — | — | 1,426 | I | By 401k |
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 | $18.217 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 10,589 | — | D |
| Stock Appreciation Right | $23.047 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 7,769 | — | D |
| Stock Appreciation Right | $28.433 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 8,808 | — | D |
| Stock Appreciation Right | $36.109 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 10,365 | — | D |
| Stock Appreciation Right | $40.145 | holding | — | — | — | May 1, 2018 | Apr 30, 2025 | Class B Common | 18,041 | — | D |
| Stock Appreciation Right | $38.481 | holding | — | — | — | May 1, 2019 | Apr 30, 2026 | Class B Common | 21,344 | — | D |
| Stock Appreciation Right | $39.757 | holding | — | — | — | May 1, 2020 | Apr 30, 2027 | Class B Common | 18,005 | — | D |