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BROWN FORMAN CORP — Director's Dealing 2015
Jul 10, 2015
30482_dirs_2015-07-10_5cc452fa-c345-48c2-b421-d183ce9a635c.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: 2015-07-08
Reporting Person: Brown George Garvin IV (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-07-08 | Class A Common | J | 19000.0000 | $108.7700 | Disposed | 116635.0000 | Direct |
| 2015-07-08 | Class A Common | J | 5100.0000 | $108.7700 | Acquired | 10190.0000 | Indirect |
| 2015-07-08 | Class A Common | J | 6500.0000 | $108.7700 | Acquired | 94934.0000 | Indirect |
| 2015-07-08 | Class A Common | J | 7400.0000 | $108.7700 | Acquired | 11620.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 273463.0000 | Direct |
| Class B Common | 17418.0000 | 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 | 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: On July 8, 2015, the reporting person exchanged Class A shares for cash held by two GRATs and a CLAT. The reporting person disclaims beneficial ownership of the shares held by the GRATs and the CLAT except to the extent of his pecuniary interest therein.
F2: The mean price of the issuer's Class A Common Stock as of July 7, 2015 ($108.77) was used to value the transactions.
F3: Number of shares acquired through the issuer's 401(k) plan as of July 8, 2015.
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 26, 2012, and vest April 30, 2016.
F6: The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
F7: The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.