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BROWN FORMAN CORP — Director's Dealing 2016
Mar 8, 2016
30482_dirs_2016-03-08_a2357381-568e-41c6-8a24-159c3cd98e72.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: 2016-03-07
Reporting Person: McCallum Mark I (EVP/Pres. Jack Daniel's Brands)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-03-07 | Class B Common | M | 14647 | $35.51 | Acquired | 27379 | Direct |
| 2016-03-07 | Class B Common | M | 15957 | $33.76 | Acquired | 43336 | Direct |
| 2016-03-07 | Class B Common | M | 4615 | $34.95 | Acquired | 47951 | Direct |
| 2016-03-07 | Class B Common | S | 12845 | $97.9212 | Disposed | 35106 | Direct |
| 2016-03-07 | Class B Common | F | 22374 | $97.68 | Disposed | 12732 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-03-07 | Stock Appreciation Right | $34.95 | M | 4615 | Disposed | 2016-04-30 | Class B Common (4615.0) | Direct |
| 2016-03-07 | Stock Appreciation Right | $35.51 | M | 14647 | Disposed | 2018-04-30 | Class B Common (14647.0) | Direct |
| 2016-03-07 | Stock Appreciation Right | $33.76 | M | 15957 | Disposed | 2017-04-30 | Class B Common (15957.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 31806.50 | Direct |
| Class B Common | 27 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $102.25 | 2025-04-30 | Class B Common (11150.0) | 11150 | Direct |
| Stock Appreciation Right | $91.97 | 2024-04-30 | Class B Common (13677.0) | 13677 | Direct |
| Stock Appreciation Right | $72.42 | 2023-04-30 | Class B Common (15971.0) | 15971 | Direct |
| Stock Appreciation Right | $38.43 | 2020-04-30 | Class B Common (20455.0) | 20455 | Direct |
| Stock Appreciation Right | $46.4 | 2021-04-30 | Class B Common (23144.0) | 23144 | Direct |
| Stock Appreciation Right | $27.05 | 2019-04-30 | Class B Common (23437.0) | 23437 | Direct |
| Stock Appreciation Right | $58.7 | 2022-04-30 | Class B Common (24859.0) | 24859 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.89 to $97.99, 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 sold at each separate price within the range set forth in this footnote.
F2: The closing price of BF-B on March 4, 2016 was used to calculate the withholding obligation.