Filing Details
- Accession Number:
- 0000014693-16-000070
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-15 17:39:21
- Reporting Period:
- 2016-03-11
- Filing Date:
- 2016-03-15
- Accepted Time:
- 2016-03-15 16:39:21
- 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 | 2016-03-11 | 8,704 | $35.51 | 28,567 | No | 4 | M | Direct | |
| Class B Common | Acquisiton | 2016-03-11 | 13,755 | $27.05 | 42,322 | No | 4 | M | Direct | |
| Class B Common | Disposition | 2016-03-11 | 9,573 | $98.00 | 32,749 | No | 4 | S | Direct | |
| Class B Common | Disposition | 2016-03-11 | 12,886 | $97.53 | 19,863 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common | Stock Appreciation Right | Disposition | 2016-03-11 | 8,704 | $0.00 | 8,704 | $35.51 |
| Class B Common | Stock Appreciation Right | Disposition | 2016-03-11 | 13,755 | $0.00 | 13,755 | $27.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-05-01 | 2018-04-30 | No | 4 | M | Direct |
| 0 | 2012-05-01 | 2019-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common | 19,186 | Direct | |
| Class B Common | 7,306 | Indirect | By 401k |
| Class A Common | 125 | Indirect | DRIP |
| Class A Common | 2,631 | Indirect | ESPP |
| Class B Common | 311 | 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 | $102.25 | 2018-05-01 | 2025-04-30 | 12,592 | 12,592 | Direct |
| Class B Common | Stock Appreciation Right | $38.43 | 2013-05-01 | 2020-04-30 | 15,106 | 15,106 | Direct |
| 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 | $58.70 | 2015-05-01 | 2022-04-30 | 11,098 | 11,098 | Direct |
| Class B Common | Stock Appreciation Right | $72.42 | 2016-05-01 | 2023-04-30 | 9,771 | 9,771 | Direct |
| Class B Common | Stock Appreciation Right | $91.97 | 2017-05-01 | 2024-04-30 | 10,222 | 10,222 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-04-30 | 12,592 | 12,592 | Direct |
| 2020-04-30 | 15,106 | 15,106 | Direct |
| 2021-04-30 | 16,759 | 16,759 | Direct |
| 2022-04-30 | 11,098 | 11,098 | Direct |
| 2023-04-30 | 9,771 | 9,771 | Direct |
| 2024-04-30 | 10,222 | 10,222 | Direct |
Footnotes
- The closing price of BF-B on March 10, 2016 was used to calculate the withholding obligation.
- Number of shares acquired through the issuer's 401(k) plan as of February 29, 2016.
- Number of shares acquired through the issuer's dividend reinvestment plan as of March 11, 2016.
- Number of shares acquired through the issuer's employee stock purchase program as of March 11, 2016.
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