Filing Details
- Accession Number:
- 0000014693-16-000243
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-18 16:40:09
- Reporting Period:
- 2016-10-14
- Filing Date:
- 2016-10-18
- Accepted Time:
- 2016-10-18 16:40:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1579721 | P Lisa Steiner | 850 Dixie Highway Louisville KY 40210 | Svp, Chief Of Staff | 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 | Disposition | 2016-10-14 | 10,510 | $45.30 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common | 15,292 | Direct | |
| Class A Common | 1,491 | Indirect | DRIP |
| Class B Common | 254 | Indirect | DRIP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class B Common | Stock Appreciation Right | $36.21 | 2016-05-01 | 2023-04-30 | 13,478 | 13,478 | Direct |
| Class B Common | Stock Appreciation Right | $45.99 | 2017-05-01 | 2024-04-30 | 10,934 | 10,934 | Direct |
| Class B Common | Stock Appreciation Right | $51.13 | 2018-05-01 | 2025-04-30 | 11,282 | 11,282 | Direct |
| Class B Common | Stock Appreciation Right | $49.01 | 2019-05-01 | 2026-04-30 | 15,014 | 15,014 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-04-30 | 13,478 | 13,478 | Direct |
| 2024-04-30 | 10,934 | 10,934 | Direct |
| 2025-04-30 | 11,282 | 11,282 | Direct |
| 2026-04-30 | 15,014 | 15,014 | Direct |
Footnotes
- Reflects the acquisition of additional shares in the August 2016 stock split. Total also updated to correct prior reporting error.
- On August 18, 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 7,646 additonal shares.
- Number of shares acquired through the issuer's dividend reinvestment plan as of October 17, 2016, including additional shares issued in the August 2016 stock split.
- Exercise price adjusted as a result of the August 2016 stock split.
- Reflects the acquisition of 6,739 additional SSARs in the August 2016 stock split.
- Reflects the acquisition of 5,467 additional SSARs in the August 2016 stock split.
- Reflects the acquisition of 5,641 additional SSARs in the August 2016 stock split.
- Reflects the acquisition of 7,507 additional SSARs in the August 2016 stock split.
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