BROWN FORMAN CORP — Director's Dealing 2021

Jul 12, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: BROWN FORMAN CORP (BFA, BFB)
CIK: 0000014693
Period of Report: 2021-07-02

Reporting Person: Nall Timothy M (SVP CIO)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class B Common	4614	Direct
Class A Common	36	Indirect
Class B Common	9	Indirect
Class B Common	6288.6595	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Appreciation Right	$28.433	2023-04-30	Class B Common (11742.0)		Direct
Stock Appreciation Right	$36.109	2024-04-30	Class B Common (7930.0)		Direct
Stock Appreciation Right	$40.145	2025-04-30	Class B Common (13280.0)		Direct
Stock Appreciation Right	$39.757	2027-04-30	Class B Common (7659.0)		Direct
Stock Appreciation Right	$54.0	2028-04-30	Class B Common (9505.0)		Direct
Stock Appreciation Right	$54.64	2029-04-30	Class B Common (9729.0)		Direct
Stock Appreciation Right	$69.21	2030-04-30	Class B Common (2965.0)		Direct
Restricted Stock Units	$		Class B Common (626.0)		Direct

Footnotes

F1: Number of shares acquired through the issuer's 401(k) plan as of July 2, 2021.

F2: The restricted stock units were granted July 30, 2020, and vest April 30, 2023.

F3: Each restricted stock unit represents a contingent right to recive one share of Brown-Forman Class B common stock.