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BROWN FORMAN CORP — Director's Dealing 2018
May 3, 2018
30482_dirs_2018-05-02_787aee44-1c10-48bc-95f5-0891b232c338.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: 2018-04-30
Reporting Person: Fitzgerald Brian P (SVP, Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-04-30 | Class B Common | M | 6169 | $13.942 | Acquired | 10586 | Direct |
| 2018-04-30 | Class B Common | F | 3064 | $56.04 | Disposed | 7522 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-04-30 | Stock Appreciation Right | $13.942 | M | 6169 | Disposed | 2018-04-30 | Class B Common (6169.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $10.62 | 2019-04-30 | Class B Common (12043.0) | 12043 | Direct |
| Stock Appreciation Right | $15.088 | 2020-04-30 | Class B Common (10110.0) | 10110 | Direct |
| Stock Appreciation Right | $18.217 | 2021-04-30 | Class B Common (9524.0) | 9524 | Direct |
| Stock Appreciation Right | $23.047 | 2022-04-30 | Class B Common (8849.0) | 8849 | Direct |
| Stock Appreciation Right | $28.433 | 2023-04-30 | Class B Common (14676.0) | 14676 | Direct |
| Stock Appreciation Right | $36.109 | 2024-04-30 | Class B Common (11324.0) | 11324 | Direct |
| Stock Appreciation Right | $40.145 | 2025-04-30 | Class B Common (13280.0) | 13280 | Direct |
| Stock Appreciation Right | $38.481 | 2026-04-30 | Class B Common (18155.0) | 18155 | Direct |
| Stock Appreciation Right | $39.757 | 2027-04-30 | Class B Common (18376.0) | 18376 | Direct |
Footnotes
F1: On February 28, 2018, the issuer completed a stock split resulting in the distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. On April 23, 2018, the issuer paid a special cash dividend. Total has been updated to reflect the acquisition of 883 additional shares in the February 2018 stock split.
F2: The closing price of BF-B on April 27, 2018 was used to calculate the withholding obligation.
F3: These stock appreciation rights were previously reported as covering 4,844 shares at an exercise price of $17.755, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F4: These stock appreciation rights were previously reported as covering 9,456 shares at an exercise price of $13.525, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F5: These stock appreciation rights were previously reported as covering 7,938 shares at an exercise price of $19.215, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F6: These stock appreciation rights were previously reported as covering 7,478 shares at an exercise price of $23.20, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F7: These stock appreciation rights were previously reported as covering 6,948 shares at an exercise price of $29.35, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F8: These stock appreciation rights were previously reported as covering 11,524 shares at an exercise price of $36.21, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F9: These stock appreciation rights were previously reported as covering 8,892 shares at an exercise price of $45.985, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F10: These stock appreciation rights were previously reported as covering 10,428 shares at an exercise price of $51.125, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F11: These stock appreciation rights were previously reported as covering 14,256 shares at an exercise price of $49.005, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.
F12: These stock appreciation rights were previously reported as covering 14,429 shares at an exercise price of $50.63, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend.