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BROWN FORMAN CORP — Director's Dealing 2016
Feb 9, 2016
30482_dirs_2016-02-09_9edd50c6-1b2d-4391-b72f-9cebc404186c.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: 2016-02-05
Reporting Person: Brown J McCauley (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-02-08 | Class A Common | P | 11460 | $103.9964 | Acquired | 13062 | Direct |
| 2016-02-05 | Class B Common | P | 5000 | $95.50 | Acquired | 66484 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 8841.5903 | Indirect |
| Class A Common | 968395 | Indirect |
| Class B Common | 64481 | Indirect |
| Class A Common | 181940 | Indirect |
| Class A Common | 176898 | Indirect |
| Class A Common | 3217 | 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: Number of shares acquired through the issuer's 401(k) plan as of February 5, 2016.
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 on April 30, 2019.