Statement of Changes in Beneficial Ownership (4)
December 27 2016 - 6:05PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Holland Augusta Brown
|
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA, BFB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/22/2016
|
(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class B Common
|
|
|
|
|
|
|
|
430568
(1)
|
I
|
Hebe Three Limited Partnership
|
Class A Common
|
|
|
|
|
|
|
|
633674
(2)
|
I
|
Hebe Three Limited Partnership
|
Class B Common
|
|
|
|
|
|
|
|
1930
(3)
|
I
|
Holland Family Trust
|
Class B Common
|
|
|
|
|
|
|
|
404678
(4)
|
I
|
OB2 Marital Trust
|
Class A Common
|
|
|
|
|
|
|
|
1770
(5)
|
I
|
OB2 Martial Trust
|
Class A Common
|
|
|
|
|
|
|
|
24
(6)
|
I
|
OB2 Reverse QTIP Trust
|
Class B Common
|
|
|
|
|
|
|
|
102896
(7)
|
I
|
OB2 Reverse QTIP Trust
|
Class B Common
|
|
|
|
|
|
|
|
190970
(8)
|
I
|
OB3 GST Exempt Trust
|
Class A Common
|
|
|
|
|
|
|
|
6660230
(9)
|
I
|
Olympus Three LLC
|
Class B Common
|
|
|
|
|
|
|
|
13407282
(10)
|
I
|
Olympus Three LLC
|
Class B Common
|
|
|
|
|
|
|
|
10218
(11)
|
I
|
Trust fbo Augusta Holland
|
Class A Common
|
|
|
|
|
|
|
|
40878
(12)
|
I
|
Trust fbo Augusta Holland
|
Class B Common
|
|
|
|
|
|
|
|
348560
(13)
|
I
|
Trust fbo Barzun Children
|
Class B Common
|
|
|
|
|
|
|
|
1820
(14)
|
I
|
Trust fbo Child-1
|
Class B Common
|
|
|
|
|
|
|
|
192392
(15)
|
I
|
Trust fbo Children
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Deferred Stock Units
|
(16)
|
|
|
|
|
|
|
(17)
|
(17)
|
Class A Common
|
3381.661
(18)
|
|
3381.661
(18)
|
D
|
|
Deferred Stock Units
|
(19)
|
|
|
|
|
|
|
(17)
|
(17)
|
Class A Common
|
1183.28
(20)
|
|
1183.28
(20)
|
D
|
|
Explanation of Responses:
|
(
1)
|
In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 215,284 additional shares.
|
(
2)
|
Reflects the acquisition of 316,837 additional shares in the August 2016 stock split.
|
(
3)
|
Reflects the acquisition of 962 additional shares in the August 2016 stock split, and the correction of a prior mathematical error.
|
(
4)
|
Reflects the acquisition of 202,339 additional shares in the August 2016 stock split.
|
(
5)
|
Reflects the acquisition of 885 additional shares in the August 2016 stock split.
|
(
6)
|
Reflects the acquisition of 12 additional shares in the August 2016 stock split.
|
(
7)
|
Reflects the acquisition of 51,448 additional shares in the August 2016 stock split.
|
(
8)
|
Reflects the acquisition of 95,485 additional shares in the August 2016 stock split.
|
(
9)
|
Reflects the acquisition of 3,330,115 additional shares in the August 2016 stock split.
|
(
10)
|
Reflects the acquisition of 6,703,641 additional shares in the August 2016 stock split.
|
(
11)
|
Reflects the acquisition of 5,109 additional shares in the August 2016 stock split.
|
(
12)
|
Reflects the acquisition of 20,439 additional shares in the August 2016 stock split.
|
(
13)
|
Reflects the acquisition of 174,280 additional shares in the August 2016 stock split.
|
(
14)
|
Reflects the acquisition of 910 additional shares in the August 2016 stock split.
|
(
15)
|
Reflects the acquisition of 96,196 additional shares in the August 2016 stock split.
|
(
16)
|
Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. On each dividend payment date, participants are credited with DSU equivalents.
|
(
17)
|
Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the Director's termination from Board service.
|
(
18)
|
Updated to reflect the August 2016 stock split.
|
(
19)
|
Under the Brown-Forman Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class A common stock. On each dividend payment date, participants are credited with DSU equivalents.
|
(
20)
|
Updated to reflect the August 2016 stock split.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Holland Augusta Brown
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
|
X
|
X
|
|
|
Signatures
|
Michael E. Carr, Jr., Attorney in Fact for Augusta Brown Holland
|
|
12/27/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Jun 2024 to Jul 2024
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Jul 2023 to Jul 2024