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BROWN FORMAN CORP — Director's Dealing 2015
Jul 28, 2015
30482_dirs_2015-07-27_e3d42a23-5c17-4c53-b4f4-f60b3df9873e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROWN FORMAN CORP (BF'B)
CIK: 0000014693
Period of Report: 2015-07-23
Reporting Person: Brown George Garvin IV (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-07-23 | Deferred Stock Units | $ | A | 3161.5800 | Acquired | Class A Common (3161.5800) | Direct | |
| 2015-07-23 | Restricted Stock Units | $ | A | 380.0000 | Acquired | Class B Common (380.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 116635.0000 | Direct |
| Class B Common | 273463.0000 | Direct |
| Class A Common | 10190.0000 | Indirect |
| Class B Common | 17418.0000 | Indirect |
| Class A Common | 94934.0000 | Indirect |
| Class B Common | 12806.9292 | Indirect |
| Class B Common | 2746.0000 | Indirect |
| Class A Common | 7346.0000 | Indirect |
| Class B Common | 2575.0000 | Indirect |
| Class A Common | 11620.0000 | Indirect |
| Class A Common | 529554.0000 | Indirect |
| Class A Common | 496.0000 | Indirect |
| Class B Common | 78300.0000 | Indirect |
| Class A Common | 2580235.5000 | Indirect |
| Class B Common | 255168.0000 | Indirect |
| Class A Common | 6071.0000 | Indirect |
| Class B Common | 1603.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Class B Common (3124.0000) | 3124.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (3936.0000) | 3936.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (3426.0000) | 3426.0000 | Direct | |
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (1467.0000) | 1467.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (1679.0000) | 1679.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (1542.0000) | 1542.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (4714.0000) | 4714.0000 | Direct |
Footnotes
F1: Number of shares acquired through the issuer's 401(k) plan as of July 17, 2015.
F2: 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. Grants made on July 23, 2015, were based on the closing price of the Company's Class A common stock on that date ($111.30). On each dividend payment date, participants are credited with DSU equivalents.
F3: 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.
F4: Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F5: The Restricted Stock Units were granted on July 23, 2015, and vest on April 30, 2019.
F6: The Restricted Stock Units were granted on July 26, 2012, and vest on April 30, 2016.
F7: The Restricted Stock Units were granted on July 25, 2013, and vest on April 30, 2017.
F8: The Restricted Stock Units were granted on July 24, 2014, and vest on April 30, 2018.