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BROWN FORMAN CORP — Director's Dealing 2015
Jan 2, 2015
30482_dirs_2015-01-02_80f4f45b-da1a-46d3-9848-263a7e2ed6bd.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: 2015-01-02
Reporting Person: MORREAU JANE C (SVP, Chief Production Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-01-02 | Class B Common | M | 4558.0000 | $28.5800 | Acquired | 4610.5000 | Direct |
| 2015-01-02 | Class B Common | S | 1932.0000 | $87.8498 | Disposed | 2678.5000 | Direct |
| 2015-01-02 | Class B Common | F | 2626.0000 | $87.8400 | Disposed | 52.5000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-01-02 | Stock Appreciation Right | $28.5800 | M | 4558.0000 | Disposed | 2015-04-30 | Class B Common (4558.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 8848.9081 | Direct |
| Class B Common | 2739.3066 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (8400.0000) | 8400.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (9292.0000) | 9292.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (7131.0000) | 7131.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (11463.0000) | 11463.0000 | Direct |
| Stock Appreciation Right | $38.4300 | 2020-04-30 | Class B Common (12590.0000) | 12590.0000 | Direct |
| Stock Appreciation Right | $46.4000 | 2021-04-30 | Class B Common (14365.0000) | 14365.0000 | Direct |
| Stock Appreciation Right | $58.7000 | 2022-04-30 | Class B Common (11098.0000) | 11098.0000 | Direct |
| Stock Appreciation Right | $72.4200 | 2023-04-30 | Class B Common (9266.0000) | 9266.0000 | Direct |
| Stock Appreciation Right | $91.9700 | 2024-04-30 | Class B Common (13425.0000) | 13425.0000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $87.84 to $87.9013, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2: The closing price of BF-B ($87.84) on December 30, 2014 was used to calculate the tax withholding obligation.
F3: Total updated as of December 22, 2014 to reflect dividend reinvestment.
F4: The number of shares acquired through issuer's employee stock purchase plan as of December 26, 2014.