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BROWN FORMAN CORP — Director's Dealing 2017
May 3, 2017
30482_dirs_2017-05-02_55c894ca-5f30-4c5c-a2e2-56cdf68e7bae.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: 2017-04-30
Reporting Person: VARGA PAUL C (Director, Chairman & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-30 | Class A Common | F | 13429 | $48.06 | Disposed | 171363 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 3688.2241 | Indirect |
| Class A Common | 312364 | Indirect |
| Class A Common | 444 | Indirect |
| Class B Common | 40000 | Indirect |
| Class B Common | 95804 | Indirect |
| Class B Common | 66062 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $23.2 | 2021-04-30 | Class B Common (191522.0) | 191522 | Direct |
| Stock Appreciation Right | $29.35 | 2022-04-30 | Class B Common (185028.0) | 185028 | Direct |
| Stock Appreciation Right | $36.21 | 2023-04-30 | Class B Common (124664.0) | 124664 | Direct |
| Stock Appreciation Right | $45.985 | 2024-04-30 | Class B Common (122046.0) | 122046 | Direct |
| Stock Appreciation Right | $51.125 | 2025-04-30 | Class B Common (154250.0) | 154250 | Direct |
| Stock Appreciation Right | $49.005 | 2026-04-30 | Class B Common (215084.0) | 215084 | Direct |
Footnotes
F1: To satisfy withholding obligations associated with the July 25, 2013 award of Class A common stock that vested on April 30, 2017, the reporting person surrendered 13,429 shares of Class A common stock.
F2: The closing price of BF-A ($48.06) on April 28, 2017 was used to calculate the withholding obligation.
F3: In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 92,396 additional shares.
F4: Number of shares acquired through the issuer's Omnibus dividend reinvestment as of May 2, 2017. Updated to reflect the August 2016 Stock Split.
F5: Reflects the acquisition of 156,182 additional shares in the August 2016 stock split.
F6: Reflects the acquisition of 222 additional shares in the August 2016 stock split.
F7: Reflects the acquisition of 20,000 additional shares in the August 2016 stock split.
F8: Reflects the acquisition of 47,902 additional shares in the August 2016 stock split.
F9: Reflects the acquisition of 33,031 additional shares in the August 2016 stock split.
F10: These stock appreciation rights were previously reported as covering 95,761 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 stock split.
F11: These stock appreciation rights were previously reported as covering 92,514 shares at an exercise price of $58.70, but were adjusted to reflect the August 2016 stock split.
F12: These stock appreciation rights were previously reported as covering 62,332 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split.
F13: These stock appreciation rights were previously reported as covering 61,023 shares at an exercise price of $91.97, but were adjusted to reflect the August 2016 stock split.
F14: These stock appreciation rights were previously reported as covering 77,125 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split.
F15: These stock appreciation rights were previously reported as covering 107,542 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split.