Filing Details
- Accession Number:
- 0000014693-16-000164
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-11 17:15:02
- Reporting Period:
- 2016-07-08
- Filing Date:
- 2016-07-11
- Accepted Time:
- 2016-07-11 17:15:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 14693 | Brown Forman Corp | BFA, BFB | Beverages (2080) | 610143150 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1468766 | Ackerman Jill Jones | 850 Dixie Highway Louisville KY 40210 | Executive Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common | Acquisiton | 2016-07-08 | 15,106 | $38.43 | 34,969 | No | 4 | M | Direct | |
| Class B Common | Disposition | 2016-07-08 | 10,347 | $97.09 | 24,622 | No | 4 | F | Direct | |
| Class B Common | Disposition | 2016-07-08 | 4,759 | $98.00 | 19,863 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common | Stock Appreciation Right | Disposition | 2016-07-08 | 15,106 | $0.00 | 15,106 | $38.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-05-01 | 2020-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common | 20,936 | Direct | |
| Class B Common | 7,429 | Indirect | By 401k |
| Class A Common | 224 | Indirect | DRIP |
| Class B Common | 313 | Indirect | ESPP |
| Class A Common | 2,677 | Indirect | ESPP |
| Class B Common | 45 | Indirect | Trust fbo Child-1 |
| Class B Common | 45 | Indirect | Trust fbo Child-2 |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class B Common | Stock Appreciation Right | $46.40 | 2014-05-01 | 2021-04-30 | 16,759 | 16,759 | Direct |
| Class B Common | Stock Appreciation Right | $91.97 | 2017-05-01 | 2024-04-30 | 10,222 | 10,222 | Direct |
| Class B Common | Stock Appreciation Right | $58.70 | 2015-05-01 | 2022-04-30 | 11,098 | 11,098 | Direct |
| Class B Common | Stock Appreciation Right | $102.25 | 2018-05-01 | 2025-04-30 | 12,592 | 12,592 | Direct |
| Class B Common | Stock Appreciation Right | $72.42 | 2016-05-01 | 2023-04-30 | 9,771 | 9,771 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-04-30 | 16,759 | 16,759 | Direct |
| 2024-04-30 | 10,222 | 10,222 | Direct |
| 2022-04-30 | 11,098 | 11,098 | Direct |
| 2025-04-30 | 12,592 | 12,592 | Direct |
| 2023-04-30 | 9,771 | 9,771 | Direct |
Footnotes
- The closing price of BF-B on July 7, 2016 was used to calculate the withholding obligation.
- Number of shares acquired through the issuer's 401(k) plan as of July 7, 2016.
- Number of shares acquired through the issuer's dividend reinvestment plan as of July 8, 2016.
- Number of shares acquired through the issuer's employee stock purchase program as of July 8, 2016.
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