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BROWN FORMAN CORP — Director's Dealing 2022
May 3, 2022
30482_dirs_2022-05-02_8b6827f3-fb4d-43f7-a30d-9f0a8c3d9432.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: 2022-04-29
Reporting Person: Farrer Marshall (Director, SVP/Pres. Europe)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-04-29 | Class B Common | M | 6018 | $22.724 | Acquired | 24187 | Direct |
| 2022-04-29 | Class B Common | F | 3173 | $68.70 | Disposed | 21014 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-04-29 | Stock Appreciation Right | $22.724 | M | 6018 | Disposed | 2022-04-30 | Class B Common (6018.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $39.582 | 2025-04-30 | Class B Common (4883.0) | 4883 | Direct |
| Stock Appreciation Right | $37.942 | 2026-04-30 | Class B Common (3338.0) | 3338 | Direct |
| Stock Appreciation Right | $53.875 | 2029-04-30 | Class B Common (2645.0) | 2683 | Direct |
| Stock Appreciation Right | $68.241 | 2030-04-30 | Class B Common (3406.0) | 3406 | Direct |
| Stock Appreciation Right | $70.242 | 2031-04-30 | Class B Common (8752.0) | 8752 | Direct |
Footnotes
F1: The closing price of BF-B on April 28, 2022, was used to calculate the withholding obligation.
F2: These stock appreciation rights were previously reported as covering 5,933 shares at an exercise price of $23.047, but were adjusted to reflect the December 2021 special dividend.
F3: These stock appreciation rights were previously reported as covering 4,814 shares at an exercise price of $40.145, but were adjusted to reflect the December 2021 special dividend.
F4: These stock appreciation rights were previously reported as covering 3,291 shares at an exercise price of $38.481, but were adjusted to reflect the December 2021 special dividend.
F5: These stock appreciation rights were previously reported as covering 2,645 shares at an exercise price of $54.64, but were adjusted to reflect the December 2021 special dividend.
F6: These stock appreciation rights were previously reported as covering 3,358 shares at an exercise price of $69.21, but were adjusted to reflect the December 2021 special dividend.
F7: These stock appreciation rights were previously reported as covering 8,629 shares at an exercise price of $71.24, but were adjusted to reflect the December 2021 special dividend.