SEC Form 4 · accession 0001225208-15-007590
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christina Lee Brown
10% Owner
Period of report
Dec 3, 2014
Accepted (ET)
Mar 11, 2015 · 4:56 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 | Dec 3, 2014 | G | 1,812 | $0.00 | D | 253,368 | D | |
| Class B Common | Dec 3, 2014 | G | 755 | $0.00 | D | 62,404 | D | |
| Class B Common | holding | — | — | — | 253,176 | I | Estate of Owsley Brown II | |
| Class A Common | holding | — | — | — | 3,330,114 | I | Olympus Three LLC | |
| Class B Common | holding | — | — | — | 6,703,641 | I | Olympus Three LLC | |
| Class A Common | holding | — | — | — | 504,775 | I | Owsley Brown II 1994 GRAT | |
| Class B Common | holding | — | — | — | 126,193 | I | Owsley Brown II 1994 GRAT | |
| Class B Common | holding | — | — | — | 1,980 | I | Owsley Brown II IRA | |
| Class A Common | holding | — | — | — | 1,277,100 | I | Polaris LLC | |
| Class B Common | holding | — | — | — | 343,600 | I | Polaris LLC | |
| Class A Common | holding | — | — | — | 67,714 | I | Trust u/a Owsley Brown III |
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 | $33.65 | holding | — | — | — | Nov 15, 2007 | Jul 24, 2015 | Class B Common | 5,311 | 5,311 | D |