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BROWN FORMAN CORP — Director's Dealing 2017
Apr 11, 2017
30482_dirs_2017-04-11_269475b4-1658-4190-a880-38677d855bb0.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: 2017-04-07
Reporting Person: de Chabert Ralph E (SVP, Chief Diversity Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-07 | Class B Common | S | 1760 | $45.5283 | Disposed | 4609.726 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Class B Common (238.0) | 238 | Direct | |
| Restricted Stock Units | $ | Class B Common (286.0) | 286 | Direct | |
| Stock Appreciation Right | $13.525 | 2019-04-30 | Class B Common (1180.0) | 1180 | Direct |
| Stock Appreciation Right | $23.2 | 2021-04-30 | Class B Common (3434.0) | 3434 | Direct |
| Stock Appreciation Right | $36.21 | 2023-04-30 | Class B Common (1154.0) | 1154 | Direct |
| Stock Appreciation Right | $45.985 | 2024-04-30 | Class B Common (1334.0) | 1334 | Direct |
| Stock Appreciation Right | $51.125 | 2025-04-30 | Class B Common (5616.0) | 5616 | Direct |
| Stock Appreciation Right | $49.005 | 2026-04-30 | Class B Common (6432.0) | 6432 | 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 $45.5271 to $45.53, 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: Updated to reflect the August 2016 stock split and corrected as a result of prior reporting error.
F3: Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F4: The restricted stock units were granted on July 25, 2013, and vest April 30, 2017.
F5: Reflects the acquisition of 119 additional restricted stock units in the August 2016 stock split.
F6: The restricted stock units were granted on July 24, 2014, and vest April 30, 2018.
F7: Reflects the acquisition of 143 additional restricted stock units in the August 2016 stock split.
F8: These stock appreciation rights were previously reported as covering 590 shares at an exercise price of $27.05 but were adjusted to reflect the August 2016 stock split.
F9: These stock appreciation rights were previously reported as covering 1,717 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 stock split.
F10: These stock appreciation rights were previously reported as covering 577 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split.
F11: These stock appreciation rights were previously reported as covering 667 shares at an exercise price of $91.97, but were adjusted to reflect the August 2016 stock split.
F12: These stock appreciation rights were previously reported as covering 2,808 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split.
F13: These stock appreciation rights were previously reported as covering 3,216 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split.