SEC Form 4 · accession 0001225208-15-014218
BROWN FORMAN CORP · BF-A
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirsten M Hawley
Officer — SVP Chief Human Resource OFC
Period of report
Jun 19, 2015
Accepted (ET)
Jun 23, 2015 · 5:05 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 | Jun 19, 2015 | M | 2,165 | $46.40 | A | 2,169 | D | |
| Class B CommonF1 | Jun 19, 2015 | F | 419 | $101.60 | D | 1,750 | D | |
| Class B Common | Jun 19, 2015 | S | 757 | $101.0982 | D | 993 | D | |
| Class A Common | holding | — | — | — | 21 | D | ||
| Class B CommonF2 | holding | — | — | — | 1,965 | I | By 401k | |
| Class A CommonF3 | holding | — | — | — | 6 | 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 | $46.40 | Jun 19, 2015 | M | 2,165 | D | May 1, 2014 | Apr 30, 2021 | Class B Common | 2,165 | 0 | D |
| Stock Appreciation Right | $58.70 | holding | — | — | — | May 1, 2015 | Apr 30, 2022 | Class B Common | 1,960 | 1,960 | D |
| Stock Appreciation Right | $72.42 | holding | — | — | — | May 1, 2016 | Apr 30, 2023 | Class B Common | 2,518 | 2,518 | D |
| Stock Appreciation Right | $91.97 | holding | — | — | — | May 1, 2017 | Apr 30, 2024 | Class B Common | 2,223 | 2,223 | D |
Explanation of responses
- F1The closing price of BF-B ($101.60) on June 18, 2015 was used to calculate the withholding obligation.
- F2Number of shares acquired through issuer's 401(k) plan as of June 19, 2015.
- F3Number of shares acquired through the issuer's dividend reinvestment plan as of June 19, 2015.