SEC Form 4 · accession 0001225208-15-012464
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa P Steiner
Officer — Chief of Staff
Period of report
May 18, 2015
Accepted (ET)
May 19, 2015 · 4:59 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 | May 18, 2015 | M | 8,880 | $58.70 | A | 9,803 | D | |
| Class B CommonF1 | May 18, 2015 | F | 6,692 | $95.05 | D | 3,111 | D | |
| Class A Common | holding | — | — | — | 5,210 | D | ||
| Class A CommonF2 | holding | — | — | — | 672 | I | DRIP | |
| Class B CommonF2 | holding | — | — | — | 121 | I | DRIP |
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 | $58.70 | May 18, 2015 | M | 8,880 | D | May 1, 2015 | Apr 30, 2022 | Class B Common | 8,880 | 0 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 6,739 | 6,739 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 5,467 | 5,467 | D |
Explanation of responses
- F1The closing price of BF-B ($95.05) on May 15, 2015 was used to calculate the withholding obligation.
- F2Number of shares acquired through the issuer's dividend reinvestment plan as of May 14, 2015.