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BROWN FORMAN CORP — Director's Dealing 2019
May 3, 2019
30482_dirs_2019-05-02_0af9584f-6117-4e92-978a-9d1934ffcce3.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: 2018-10-10
Reporting Person: Hayes John V. (SVP/President, USA & Canada)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-04-30 | Class A Common | F | 1265 | $52.30 | Disposed | 3194 | Direct |
| 2018-10-10 | Class B Common | G | 501 | — | Disposed | 1127 | Direct |
| 2019-04-30 | Class B Common | M | 33109 | $10.62 | Acquired | 34236 | Direct |
| 2019-04-30 | Class B Common | F | 16122 | $52.98 | Disposed | 18114 | Direct |
| 2019-04-30 | Class B Common | F | 317 | $53.29 | Disposed | 17797 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-04-30 | Stock Appreciation Right | $10.62 | M | 33109 | Disposed | 2019-04-30 | Class B Common (33109.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 7644.7065 | Indirect |
| Class B Common | 34.0621 | Indirect |
| Class B Common | 14270.58 | Indirect |
| Class B Common | 17329 | Indirect |
Footnotes
F1: To satisfy withholding obligations associated with the July 23, 2015, award of Class A common stock that vested on April 30, 2019, the reporting person surrendered 1,265 shares of Class A common stock.
F2: The closing price of BF-A on April 30, 2019 was used to calculate the withholding obligation.
F3: Reflects the contribution of 501 BF-B to John and Jeannine Hayes Donor Advised Charitable Fund.
F4: The closing price of BF-B on April 29, 2019 was used to calculate the withholding obligation.
F5: To satisfy withholding obligations associated with the July 23, 2015, award of Class B common stock that vested on April 30, 2019, the reporting person surrendered 317 shares of Class B common stock.
F6: The closing price of BF-B on April 30, 2019 was used to calculate the withholding obligation.
F7: Number of shares acquired through the issuer's 401(k) plan as of April 30, 2019.
F8: Number of shares acquired through the issuer's employee stock purchase program as of April 30, 2019.