SEC Form 4 · accession 0000014693-18-000171
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew E Hamel
Officer — EVP, Gen Counsel and Secretary
Period of report
Oct 31, 2018
Accepted (ET)
Nov 1, 2018 · 5:18 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 | Oct 31, 2018 | M | 19,101 | $10.62 | A | 68,632 | D | |
| Class B CommonF1 | Oct 31, 2018 | F | 11,223 | $46.52 | D | 57,409 | D | |
| Class B CommonF2 | holding | — | — | — | 15,908 | I | By 401k | |
| Class B CommonF3 | holding | — | — | — | 2,010 | I | ESPP | |
| Class B CommonF4 | holding | — | — | — | 1 | I | DRIP |
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 | $10.62 | Oct 31, 2018 | M | 19,101 | D | May 1, 2012 | Apr 30, 2019 | Class B Common | 19,101 | 38,202 | D |
Explanation of responses
- F1The closing price of BF-B on October 30, 2018 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's 401(k) plan as of October 31, 2018.
- F3Number of shares acquired through the issuer's employee stock purchase program as of October 31, 2018.
- F4Number of shares acquired through the issuer's dividend reinvestment plan as of October 31, 2018.