SEC Form 4 · accession 0001225208-15-007598
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Garvin Brown IV
Officer — Executive Vice President · Director
Period of report
Dec 10, 2014
Accepted (ET)
Mar 11, 2015 · 5:25 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 | Dec 10, 2014 | G | 1,603 | $0.00 | D | 269,418 | D | |
| Class B Common | Dec 17, 2014 | G | 306 | $0.00 | A | 2,575 | I | Crummey Trust |
| Class B Common | Dec 10, 2014 | G | 1,603 | $0.00 | A | 1,603 | I | Spouse's trust |
| Class A Common | holding | — | — | — | 135,635 | D | ||
| Class A Common | holding | — | — | — | 5,090 | I | 2010 GRAT | |
| Class B Common | holding | — | — | — | 17,418 | I | 2010 GRAT | |
| Class A Common | holding | — | — | — | 88,434 | I | 2012 GRAT | |
| Class B CommonF1 | holding | — | — | — | 12,366 | I | By 401k | |
| Class B Common | holding | — | — | — | 2,746 | I | CBGB LLC | |
| Class A Common | holding | — | — | — | 7,346 | I | Crummey Trust | |
| Class A Common | holding | — | — | — | 4,220 | I | GGB IV CLAT | |
| Class A Common | holding | — | — | — | 529,554 | I | GGB4 2010 #1 LP | |
| Class A Common | holding | — | — | — | 496 | I | GGB4 2010#2 LLC | |
| Class B Common | holding | — | — | — | 78,300 | I | GGB4 2010#2 LLC | |
| Class A Common | holding | — | — | — | 2,580,236 | I | GGB4 2012 LP | |
| Class B Common | holding | — | — | — | 255,168 | I | GGB4 2012 LP | |
| Class A Common | holding | — | — | — | 6,071 | I | Spouse's trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | holding | — | — | — | Apr 30, 2015 | — | Class B Common | 3,312 | 3,312 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | Apr 30, 2016 | — | Class B Common | 3,124 | 3,124 | D |
| Restricted Stock UnitsF2,F5 | — | holding | — | — | — | Apr 30, 2017 | — | Class B Common | 3,936 | 3,936 | D |
| Restricted Stock UnitsF2,F6 | — | holding | — | — | — | Apr 30, 2018 | — | Class B Common | 3,426 | 3,426 | D |
| Stock Appreciation Right | $28.58 | holding | — | — | — | May 1, 2008 | Apr 30, 2015 | Class B Common | 1,068 | 1,068 | D |
| Stock Appreciation Right | $34.95 | holding | — | — | — | May 1, 2009 | Apr 30, 2016 | Class B Common | 1,467 | 1,467 | D |
| Stock Appreciation Right | $33.76 | holding | — | — | — | May 1, 2010 | Apr 30, 2017 | Class B Common | 1,679 | 1,679 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | May 1, 2011 | Apr 30, 2018 | Class B Common | 1,542 | 1,542 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 4,714 | 4,714 | D |
Explanation of responses
- F1Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of December 16, 2014.
- F2Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- F3The Restricted Stock Units were granted on July 28, 2011, and vest April 30, 2015.
- F4The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
- F5The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
- F6The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.