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BROWN FORMAN CORP — Director's Dealing 2017
May 2, 2017
30482_dirs_2017-05-01_e6373f2e-3bb4-42ba-a454-b8093f01dd43.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: 2017-04-27
Reporting Person: Fitzgerald Brian P (SVP, Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-27 | Class B Common | M | 5274 | $16.88 | Acquired | 6662 | Direct |
| 2017-04-27 | Class B Common | F | 3128 | $46.76 | Disposed | 3534 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-27 | Stock Appreciation Right | $16.88 | M | 5274 | Disposed | 2017-04-30 | Class B Common (5274.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $17.755 | 2018-04-30 | Class B Common (4844.0) | 4844 | Direct |
| Stock Appreciation Right | $13.525 | 2019-04-30 | Class B Common (9456.0) | 9456 | Direct |
| Stock Appreciation Right | $19.215 | 2020-04-30 | Class B Common (7938.0) | 7938 | Direct |
| Stock Appreciation Right | $23.2 | 2021-04-30 | Class B Common (7478.0) | 7478 | Direct |
| Stock Appreciation Right | $29.35 | 2022-04-30 | Class B Common (6948.0) | 6948 | Direct |
| Stock Appreciation Right | $36.21 | 2023-04-30 | Class B Common (11524.0) | 11524 | Direct |
| Stock Appreciation Right | $45.985 | 2024-04-30 | Class B Common (8892.0) | 8892 | Direct |
| Stock Appreciation Right | $51.125 | 2025-04-30 | Class B Common (10428.0) | 10428 | Direct |
| Stock Appreciation Right | $49.005 | 2026-04-30 | Class B Common (14256.0) | 14256 | Direct |
Footnotes
F1: 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 694 additional shares.
F2: The closing price of BF-B on April 26, 2017 was used to calculate the withholding obligation.
F3: These stock appreciation rights were previously reported as covering 2,637 shares at an exercise price of $33.76, but were adjusted to reflect the August 2016 stock split.
F4: These stock appreciation rights were previously reported as covering 2,422 shares at an exercise price of $35.51, but were adjusted to reflect the August 2016 stock split.
F5: These stock appreciation rights were previously reported as covering 4,728 shares at an exercise price of $27.05, but were adjusted to reflect the August 2016 stock split.
F6: These stock appreciation rights were previously reported as covering 3,969 shares at an exercise price of $38.43, but were adjusted to reflect the August 2016 stock split.
F7: These stock appreciation rights were previously reported as covering 3,739 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 stock split.
F8: These stock appreciation rights were previously reported as covering 3,474 shares at an exercise price of $58.70, but were adjusted to reflect the August 2016 stock split.
F9: These stock appreciation rights were previously reported as covering 5,762 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split.
F10: These stock appreciation rights were previously reported as covering 4,446 shares at an exercise price of $91.97, but were adjusted to reflect the August 2016 stock split.
F11: These stock appreciation rights were previously reported as covering 5,214 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split.
F12: These stock appreciation rights were previously reported as covering 7,128 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split.