Filing Details
- Accession Number:
- 0000014693-16-000101
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-04-15 17:01:49
- Reporting Period:
- 2016-04-14
- Filing Date:
- 2016-04-15
- Accepted Time:
- 2016-04-15 17:01:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1631269 | E Ralph Chabert De | 850 Dixie Highway Louisville KY 40210 | Svp, Chief Diversity Officer | 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 | 2016-04-14 | 1,108 | $35.51 | 1,332 | No | 4 | M | Direct | |
| Class B Common | Acquisiton | 2016-04-14 | 590 | $27.05 | 1,922 | No | 4 | M | Direct | |
| Class B Common | Disposition | 2016-04-14 | 706 | $95.00 | 1,216 | No | 4 | S | Direct | |
| Class B Common | Disposition | 2016-04-14 | 992 | $95.04 | 224 | 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 | 2016-04-14 | 1,108 | $0.00 | 1,108 | $35.51 |
| Class B Common | Stock Appreciation Right | Disposition | 2016-04-14 | 590 | $0.00 | 590 | $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 |
| 590 | 2012-05-01 | 2019-04-30 | No | 4 | M | Direct |
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 | 284 | 284 | Direct | |
| Class B Common | Restricted Stock Units | $0.00 | 2018-04-30 | 143 | 143 | Direct | |
| Class B Common | Restricted Stock Units | $0.00 | 2017-04-30 | 119 | 119 | Direct | |
| Class B Common | Stock Appreciation Right | $46.40 | 2014-05-01 | 2021-04-30 | 1,717 | 1,717 | Direct |
| Class B Common | Stock Appreciation Right | $72.42 | 2016-05-01 | 2023-04-30 | 577 | 577 | Direct |
| Class B Common | Stock Appreciation Right | $91.97 | 2017-05-01 | 2024-04-30 | 667 | 667 | Direct |
| Class B Common | Stock Appreciation Right | $102.25 | 2018-05-01 | 2025-04-30 | 2,808 | 2,808 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 284 | 284 | Direct | |
| 143 | 143 | Direct | |
| 119 | 119 | Direct | |
| 2021-04-30 | 1,717 | 1,717 | Direct |
| 2023-04-30 | 577 | 577 | Direct |
| 2024-04-30 | 667 | 667 | Direct |
| 2025-04-30 | 2,808 | 2,808 | Direct |
Footnotes
- The closing price of BF-B ($95.04) on April 13,2016 was used to calculate the withholding obligation.
- 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 24, 2014, and vest April 30, 2018.
- The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
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