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BROWN FORMAN CORP — Director's Dealing 2016
Mar 31, 2016
30482_dirs_2016-03-31_2535d114-5293-4593-a29d-5a54ccf84814.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: 2016-01-19
Reporting Person: Brown J McCauley (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-01-19 | Class A Common | G | 3000 | — | Disposed | 217 | Indirect |
| 2016-01-19 | Class A Common | G | 3000 | — | Acquired | 16062 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 66484 | Direct |
| Class A Common | 968395 | Indirect |
| Class B Common | 64481 | Indirect |
| Class B Common | 8841.5903 | Indirect |
| Class A Common | 181940 | Indirect |
| Class A Common | 176898 | Indirect |
| Class A Common | 50704 | Indirect |
| Class A Common | 3925 | Indirect |
| Class A Common | 1000 | Indirect |
| Class A Common | 96698 | Indirect |
| Class A Common | 15995 | Indirect |
| Class B Common | 1020 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Class B Common (254.0) | 254 | Direct | |
| Restricted Stock Units | $ | Class B Common (212.0) | 212 | Direct | |
| Restricted Stock Units | $ | Class B Common (171.0) | 171 | Direct | |
| Restricted Stock Units | $ | Class B Common (158.0) | 158 | Direct |
Footnotes
F1: Updated as of February 24, 2016 to reflect new total and distribution of all shares from issuer's 401(k) plan to the reporting person's IRA account.
F2: Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F3: The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
F4: The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
F5: The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
F6: The Restricted Stock Units were granted on July 23, 2015, and vest April 30, 2019.