SEC Form 4 · accession 0001225208-15-015325

BROWN FORMAN CORP · BF-A

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

Reporting owner

Officer — Executive Vice President · Director

Period of report

Jul 8, 2015

Accepted (ET)

Jul 10, 2015 · 2:24 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	Jul 8, 2015	J	19,000	$108.77	D	116,635	D
Class A Common^F2	Jul 8, 2015	J	5,100	$108.77	A	10,190	I	2010 GRAT
Class A Common^F2	Jul 8, 2015	J	6,500	$108.77	A	94,934	I	2012 GRAT
Class A Common^F2	Jul 8, 2015	J	7,400	$108.77	A	11,620	I	GGB IV CLAT
Class B Common	holding	—	—		—	273,463	D
Class B Common	holding	—	—		—	17,418	I	2010 GRAT
Class B Common^F3	holding	—	—		—	12,807	I	By 401k
Class B Common	holding	—	—		—	2,746	I	CBGB LLC
Class A Common	holding	—	—		—	7,346	I	Crummey Trust
Class B Common	holding	—	—		—	2,575	I	Crummey Trust
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
Class B Common	holding	—	—		—	1,603	I	Spouse's 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, 2016	—	Class B Common	3,124	3,124	D
Restricted Stock Units^F4,F6	—	holding	—	—	—	Apr 30, 2017	—	Class B Common	3,936	3,936	D
Restricted Stock Units^F4,F7	—	holding	—	—	—	Apr 30, 2018	—	Class B Common	3,426	3,426	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

F1On July 8, 2015, the reporting person exchanged Class A shares for cash held by two GRATs and a CLAT. The reporting person disclaims beneficial ownership of the shares held by the GRATs and the CLAT except to the extent of his pecuniary interest therein.
F2The mean price of the issuer's Class A Common Stock as of July 7, 2015 ($108.77) was used to value the transactions.
F3Number of shares acquired through the issuer's 401(k) plan as of July 8, 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 26, 2012, and vest April 30, 2016.
F6The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
F7The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.