SEC Form 4 · accession 0001209191-15-071379
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine Frazier Joy
10% Owner
Period of report
Jul 20, 2015
Accepted (ET)
Sep 18, 2015 · 3:19 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 | Jul 20, 2015 | W | 1,277,720 | $0.00 | A | 9,104,152 | I | Avish Agincourt LLC |
| Class A Common | Jul 20, 2015 | W | 2,555,440 | $0.00 | D | 9,104,152 | I | Avish Agincourt LLC |
| Class B Common | Jul 20, 2015 | W | 579,690 | $0.00 | A | 4,130,474 | I | Avish Agincourt LLC |
| Class B Common | Jul 20, 2015 | W | 1,159,381 | $0.00 | D | 4,130,474 | I | Avish Agincourt LLC |
| Class A CommonF2 | Sep 16, 2015 | G | 651,681 | — | A | 9,104,152 | I | Avish Agincourt LLC |
| Class A CommonF2 | Sep 16, 2015 | G | 651,681 | — | D | 9,104,152 | I | Avish Agincourt LLC |
| Class B CommonF2 | Sep 16, 2015 | G | 295,662 | — | A | 4,130,474 | I | Avish Agincourt LLC |
| Class B CommonF2 | Sep 16, 2015 | G | 295,662 | — | D | 4,130,474 | I | Avish Agincourt LLC |
| Class A Common | holding | — | — | — | 190,326 | D | ||
| Class B Common | holding | — | — | — | 489,549 | D | ||
| Class A Common | holding | — | — | — | 10,000 | I | Alexander Joy | |
| Class B Common | holding | — | — | — | 641 | I | Alexander Joy IMA | |
| Class A Common | holding | — | — | — | 15,633 | I | Alexander Joy UTMA | |
| Class B Common | holding | — | — | — | 13,125 | I | Alexander Joy UTMA | |
| Class A Common | holding | — | — | — | 56,334 | I | Annsley Frazier Thornton Trust | |
| Class B Common | holding | — | — | — | 41,046 | I | Annsley Frazier Thornton Trust | |
| Class A Common | holding | — | — | — | 23,184 | I | By Spouse | |
| Class B Common | holding | — | — | — | 30,726 | I | By Spouse | |
| Class A Common | holding | — | — | — | 22,000 | I | Caitlin Joy | |
| Class B Common | holding | — | — | — | 641 | I | Caitlin Joy IMA | |
| Class A Common | holding | — | — | — | 5,922 | I | Caitlin Joy UTMA | |
| Class B Common | holding | — | — | — | 4,893 | I | Caitlin Joy UTMA | |
| Class A Common | holding | — | — | — | 16,000 | I | Charles Joy | |
| Class B Common | holding | — | — | — | 641 | I | Charles Joy IMA | |
| Class A Common | holding | — | — | — | 10,548 | I | Charles Joy UTMA | |
| Class B Common | holding | — | — | — | 8,895 | I | Charles Joy UTMA | |
| Class A Common | holding | — | — | — | 5,000 | I | Christopher Joy | |
| Class B Common | holding | — | — | — | 641 | I | Christopher Joy IMA | |
| Class A Common | holding | — | — | — | 22,824 | I | Christopher Joy UTMA | |
| Class B Common | holding | — | — | — | 20,773 | I | Christopher Joy UTMA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the division of a family trust holding units of Avish Agincourt LLC following the death of the settlor.
- F2On September 16, 2015, the reporting person transferred units of Avish Agincourt LLC to a grantor trust for the benefit of family members in which the reporting person retains a pecuniary interest. The reporting person received a note under the terms of the trust providing for a periodic payment similar in operation to a grantor retained annuity trust.
Remarks
The reporting person disclaims beneficial ownership of shares held by trusts and entities set forth in this report except to the extent of her pecuniary interest therein.