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BROWN FORMAN CORP — Director's Dealing 2015
Mar 11, 2015
30482_dirs_2015-03-11_db663da1-07f2-44c3-b73d-8cd2a3b9e0b7.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: 2015-01-09
Reporting Person: Brown J McCauley (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-01-09 | Class A Common | J | 35500.0000 | $89.7500 | Acquired | 968395.0000 | Indirect |
| 2015-01-09 | Class B Common | J | 35190.0000 | $90.1400 | Disposed | 64481.0000 | Indirect |
| 2014-12-31 | Class A Common | G | 3000.0000 | $0.0000 | Acquired | 3086.0000 | Indirect |
| 2014-12-31 | Class A Common | G | 17705.0000 | $0.0000 | Acquired | 25330.0000 | Indirect |
| 2015-03-10 | Class A Common | P | 1000.0000 | $88.9500 | Acquired | 26330.0000 | Indirect |
| 2014-12-31 | Class A Common | G | 20705.0000 | $0.0000 | Disposed | 121203.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 3852.0000 | Direct |
| Class B Common | 60995.0000 | Direct |
| Class B Common | 6243.0545 | Indirect |
| Class A Common | 181940.0000 | Indirect |
| Class A Common | 176898.0000 | Indirect |
| Class B Common | 11314.0000 | Indirect |
| Class A Common | 3925.0000 | Indirect |
| Class A Common | 1000.0000 | Indirect |
| Class A Common | 14349.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Class B Common (778.0000) | 778.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (254.0000) | 254.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (212.0000) | 212.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (171.0000) | 171.0000 | Direct |
Footnotes
F1: On January 9, 2015, Brown Ventures LLC exchanged certain Class B shares for an economically equivalent number of Class A shares held by a family member of the reporting person. The reporting person disclaims beneficial ownership of Brown Ventures LLC except to the extent of his pecuniary interest therein.
F2: BFA and BFB closing prices as of January 8, 2015 were used to determine approximate economic equivalency.
F3: Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of March 10, 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 28, 2011, and vest April 30, 2015.
F6: The Restricted Stock Units were granted on July 26, 2012, and vest 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.