SEC Form 4 · accession 0001225208-15-007593

BROWN FORMAN CORP · BF-A

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

Reporting owner

10% Owner

Period of report

Jan 9, 2015

Accepted (ET)

Mar 11, 2015 · 4:58 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^F2	Jan 9, 2015	J	35,500	$89.75	A	968,395	I	By Brown Ventures, LLC
Class B Common^F2	Jan 9, 2015	J	35,190	$90.14	D	64,481	I	By Brown Ventures, LLC
Class A Common	Dec 31, 2014	G	3,000	$0.00	A	3,086	I	By Spouse
Class A Common	Dec 31, 2014	G	17,705	$0.00	A	25,330	I	By Spouse Irrev Trust
Class A Common	Mar 10, 2015	P	1,000	$88.95	A	26,330	I	By Spouse Irrev Trust
Class A Common	Dec 31, 2014	G	20,705	$0.00	D	121,203	I	Spouse GRAT
Class A Common	holding	—	—		—	3,852	D
Class B Common	holding	—	—		—	60,995	D
Class B Common^F3	holding	—	—		—	6,243	I	By 401k
Class A Common	holding	—	—		—	181,940	I	By JMB Irrev Trust
Class A Common	holding	—	—		—	176,898	I	By MAE LLC
Class B Common	holding	—	—		—	11,314	I	By Spouse
Class A Common	holding	—	—		—	3,925	I	By Spray Trust
Class A Common	holding	—	—		—	1,000	I	Crummey Trust
Class A Common	holding	—	—		—	14,349	I	Williams Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F4,F5	—	holding	—	—	—	Apr 30, 2015	—	Class B Common	778	778	D
Restricted Stock Units^F4,F6	—	holding	—	—	—	Apr 30, 2016	—	Class B Common	254	254	D
Restricted Stock Units^F4,F7	—	holding	—	—	—	Apr 30, 2017	—	Class B Common	212	212	D
Restricted Stock Units^F4,F8	—	holding	—	—	—	Apr 30, 2018	—	Class B Common	171	171	D

F1On January 9, 2015, Brown Ventures LLC exchanged certain Class B shares for an economically equivalent number of Class A shares held by a family member of the reporting person. The reporting person disclaims beneficial ownership of Brown Ventures LLC except to the extent of his pecuniary interest therein.
F2BFA and BFB closing prices as of January 8, 2015 were used to determine approximate economic equivalency.
F3Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of March 10, 2015.
F4Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F5The Restricted Stock Units were granted on July 28, 2011, and vest April 30, 2015.
F6The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
F7The Restricted Stock Units were granted on July 25, 2013, and vest on April 30, 2017.
F8The Restricted Stock Units were granted on July 24, 2014, and vest on April 30, 2018.