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BROWN FORMAN CORP — Director's Dealing 2016
Aug 1, 2016
30482_dirs_2016-08-01_3a9b761b-b5cd-4eb9-b7af-0ead535a8808.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROWN FORMAN CORP (BFA, BFB)
CIK: 0000014693
Period of Report: 2016-07-28
Reporting Person: Hamel Matthew E (EVP, Gen Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-07-28 | Class B Common | M | 3800 | $33.65 | Acquired | 5306.0997 | Direct |
| 2016-07-28 | Class B Common | F | 2323 | $98.01 | Disposed | 2983.0997 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-07-28 | Stock Appreciation Right | $98.01 | A | 22172 | Acquired | 2026-04-30 | Class B Common (22172.0) | Direct |
| 2016-07-28 | Stock Appreciation Right | $33.65 | M | 3800 | Disposed | 2017-04-30 | Class B Common (3800.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 10633 | Direct |
| Class A Common | 608.1374 | Indirect |
| Class B Common | 35.7332 | Indirect |
| Class B Common | 5404.2018 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $35.51 | 2018-04-30 | Class B Common (14647.0) | 14647 | Direct |
| Stock Appreciation Right | $27.05 | 2019-04-30 | Class B Common (29998.0) | 29998 | Direct |
| Stock Appreciation Right | $38.43 | 2020-04-30 | Class B Common (25177.0) | 25177 | Direct |
| Stock Appreciation Right | $46.4 | 2021-04-30 | Class B Common (23942.0) | 23942 | Direct |
| Stock Appreciation Right | $58.7 | 2022-04-30 | Class B Common (22195.0) | 22195 | Direct |
| Stock Appreciation Right | $72.42 | 2023-04-30 | Class B Common (16847.0) | 16847 | Direct |
| Stock Appreciation Right | $91.97 | 2024-04-30 | Class B Common (13222.0) | 13222 | Direct |
| Stock Appreciation Right | $102.25 | 2025-04-30 | Class B Common (15084.0) | 15084 | Direct |
Footnotes
F1: On July 7, 2016, the reporting person transferred 1,506.0997 shares from his ESPP account to direct holdings.
F2: The closing price of BF-B on July 28, 2016, was used to calculate the withholding obligation.
F3: Number of shares acquired through the issuer's dividend reinvestment plan as of July 27, 2016.
F4: Number of shares acquired through the issuer's employee stock purchase program as of July 27, 2016. Total has been updated to reflect the transfer of 1,506.0997 shares from the ESPP to the reporting person's direct holdings on July 7, 2016.
F5: Number of shares acquired through the issuer's 401(k) plan as of July 27, 2016.
F6: No money was paid to or received by the reporting person for these SSARs.