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BROWN FORMAN CORP — Director's Dealing 2016
Jun 3, 2016
30482_dirs_2016-06-03_d7655a4e-f961-4077-9b76-adae5178cea6.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: 2016-06-01
Reporting Person: Hamel Matthew E (EVP, Gen Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-01 | Class A Common | A | 1509 | — | Acquired | 10633 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 557.5515 | Indirect |
| Class B Common | 1543.8749 | Indirect |
| Class B Common | 5206.432 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $33.65 | 2017-04-30 | Class B Common (15159.0) | 15159 | Direct |
| 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: These shares were issued on June 1, 2016, in connection with a July 25, 2013 award of Class A common performance-based restricted stock. The award, initially determined as a cash value, was subject to a three-year performance period, which ended April 30, 2016. The number of shares issued was determined by multiplying the cash value of the award by a three-year performance adjustment factor, dividing the amount by $74.06, which is the closing price of the issuers Class A common stock on the date of the grant, and then adjusting upwards to account for dividends paid during the performance period.
F2: Number of shares acquired through the issuer's dividend reinvestment plan as of June 1, 2016.
F3: Number of shares acquired through the issuer's employee stock purchase program as of June 1, 2016.
F4: Number of shares acquired through the issuer's 401(k) plan as of May 31, 2016.