Filing Details
- Accession Number:
- 0000014693-16-000035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-08 15:55:01
- Reporting Period:
- 2016-01-06
- Filing Date:
- 2016-01-08
- Accepted Time:
- 2016-01-08 15:55:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1351766 | Mccauley J Brown | 850 Dixie Highway Louisville KY 40210 | No | No | Yes | 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 A Common | Disposition | 2015-12-11 | 2,250 | $0.00 | 1,602 | No | 5 | G | Direct | |
| Class A Common | Disposition | 2015-12-31 | 59,000 | $0.00 | 2,296 | No | 5 | G | Indirect | By Spouse |
| Class A Common | Acquisiton | 2015-12-31 | 921 | $0.00 | 3,217 | No | 5 | G | Indirect | By Spouse |
| Class A Common | Acquisiton | 2015-12-31 | 24,374 | $0.00 | 50,704 | No | 5 | G | Indirect | By Spouse Irrev Trust |
| Class A Common | Acquisiton | 2015-12-31 | 59,000 | $0.00 | 121,993 | No | 5 | G | Indirect | Spouse GRAT |
| Class A Common | Disposition | 2015-12-31 | 25,295 | $0.00 | 96,698 | No | 5 | G | Indirect | Spouse GRAT |
| Class A Common | Acquisiton | 2016-01-06 | 1,646 | $105.42 | 15,995 | No | 4 | P | Indirect | Williams Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | By Spouse |
| No | 5 | G | Indirect | By Spouse |
| No | 5 | G | Indirect | By Spouse Irrev Trust |
| No | 5 | G | Indirect | Spouse GRAT |
| No | 5 | G | Indirect | Spouse GRAT |
| No | 4 | P | Indirect | Williams Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class B Common | 61,484 | Direct | |
| Class B Common | 8,828 | Indirect | By 401k |
| Class A Common | 968,395 | Indirect | By Brown Ventures, LLC |
| Class B Common | 64,481 | Indirect | By Brown Ventures, LLC |
| Class A Common | 181,940 | Indirect | By JMB Irrev Trust |
| Class A Common | 176,898 | Indirect | By MAE LLC |
| Class A Common | 3,925 | Indirect | By Spray Trust |
| Class A Common | 1,000 | Indirect | Crummey Trust |
| Class B Common | 1,020 | Indirect | Williams Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class B Common | Restricted Stock Units | $0.00 | 2016-04-30 | 254 | 254 | Direct | |
| Class B Common | Restricted Stock Units | $0.00 | 2017-04-30 | 212 | 212 | Direct | |
| Class B Common | Restricted Stock Units | $0.00 | 2018-04-30 | 171 | 171 | Direct | |
| Class B Common | Restricted Stock Units | $0.00 | 2019-04-30 | 158 | 158 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 254 | 254 | Direct | |
| 212 | 212 | Direct | |
| 171 | 171 | Direct | |
| 158 | 158 | Direct |
Footnotes
- Number of shares acquired through the issuer's 401(k) plan as of December 30, 2015.
- Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
- The restricted stock units were granted on July 25, 2013, and vest April 30, 2017.
- The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
- The Restricted Stock Units were granted on July 23, 2015, and vest on April 30, 2019.
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