SEC Form 4 · accession 0001225208-15-011005
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralph E de Chabert
Officer — SVP Chief Diversity Officer
Period of report
Apr 30, 2015
Accepted (ET)
May 4, 2015 · 4:48 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 CommonF1 | Apr 30, 2015 | M | 348 | $0.00 | A | 348 | D | |
| Class B CommonF2 | Apr 30, 2015 | F | 124 | $90.23 | D | 224 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1 | — | Apr 30, 2015 | M | 348 | D | Apr 30, 2015 | — | Class B Common | 348 | 0 | D |
| Restricted Stock UnitsF3,F4 | — | holding | — | — | — | Apr 30, 2016 | — | Class B Common | 284 | 284 | D |
| Restricted Stock UnitsF3,F5 | — | holding | — | — | — | Apr 30, 2017 | — | Class B Common | 119 | 119 | D |
| Restricted Stock UnitsF3,F6 | — | holding | — | — | — | Apr 30, 2018 | — | Class B Common | 143 | 143 | D |
| Stock Appreciation Right | $35.51 | holding | — | — | — | May 1, 2011 | Apr 30, 2018 | Class B Common | 1,108 | 1,108 | D |
| Stock Appreciation Right | $27.05 | holding | — | — | — | May 1, 2012 | Apr 30, 2019 | Class B Common | 1,180 | 1,180 | D |
| Stock Appreciation Right | $46.40 | holding | — | — | — | May 1, 2014 | Apr 30, 2021 | Class B Common | 1,717 | 1,717 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 577 | 577 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 667 | 667 | D |
Explanation of responses
- F1These Restricted Stock Units were granted on July 28, 2011, and vested April 30, 2015. The vesting date shown in the table has been corrected.
- F2The closing price of BF-B ($90.23) on April 30, 2015 was used to calculate the withholding obligation.
- F3Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- F4The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016. The vesting date shown in the table has been corrected.
- F5The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017. The vesting date shown in the table has been corrected.
- F6The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018. The vesting date shown in the table has been corrected.