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BROWN FORMAN CORP — Director's Dealing 2022
Feb 2, 2022
30482_dirs_2022-02-01_ccaf01be-4468-4a41-9b58-1755fe711fd2.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: 2022-01-31
Reporting Person: Hamel Matthew E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-31 | Class B Common | M | 14133 | $22.724 | Acquired | 21040 | Direct |
| 2022-01-31 | Class B Common | F | 9133 | $67.25 | Disposed | 11907 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-31 | Stock Appreciation Right | $22.724 | M | 14133 | Disposed | 2022-04-30 | Class B Common (14133.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 998 | Direct |
| Class A Common | 59.5401 | Indirect |
| Class A Common | 6983 | Indirect |
| Class A Common | 24860 | Indirect |
| Class B Common | 18694.4047 | Indirect |
| Class B Common | 12.8614 | Indirect |
| Class B Common | 3996.8756 | Indirect |
| Class B Common | 25812 | Indirect |
| Class B Common | 41617 | Indirect |
| Class B Common | 70272 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $28.034 | 2023-04-30 | Class B Common (43520.0) | 43520 | Direct |
| Stock Appreciation Right | $35.603 | 2024-04-30 | Class B Common (34155.0) | 34155 | Direct |
| Stock Appreciation Right | $39.582 | 2025-04-30 | Class B Common (38965.0) | 38965 | Direct |
| Stock Appreciation Right | $37.942 | 2026-04-30 | Class B Common (57274.0) | 57274 | Direct |
| Stock Appreciation Right | $39.2 | 2027-04-30 | Class B Common (48314.0) | 48314 | Direct |
| Stock Appreciation Right | $53.244 | 2028-04-30 | Class B Common (29989.0) | 29989 | Direct |
| Stock Appreciation Right | $53.875 | 2029-04-30 | Class B Common (30694.0) | 30694 | Direct |
| Stock Appreciation Right | $68.241 | 2030-04-30 | Class B Common (23384.0) | 23384 | Direct |
| Stock Appreciation Right | $70.242 | 2031-04-30 | Class B Common (13711.0) | 13711 | Direct |
Footnotes
F1: Total adjusted to reflect the transfer of 5,104 Class B shares from GRAT to direct holdings, and the transfer of 25,812 Class B shares from direct holdings to 2021 GRAT.
F2: The closing price of BF-B on January 28, 2022, was used to calculate the withholding obligation.
F3: Total adjusted to reflect the transfer of 2,955 Class A shares from GRAT to direct holdings, and the transfer of 6,983 Class A shares from direct holdings to 2021 GRAT.
F4: Number of shares acquired through the issuer's dividend reinvestment plan as of January 31, 2022.
F5: Reflects the transfer of 6,983 Class A shares from direct holdings to 2021 GRAT.
F6: Total adjusted to reflect the transfer of 2,955 Class A shares from GRAT to direct holdings.
F7: Number of shares acquired through the issuer's 401(k) plan as of January 31, 2022.
F8: Number of shares acquired through the issuer's employee stock purchase program as of January 31, 2022.
F9: Reflects the transfer of 25,812 Class B shares from direct holdings to 2021 GRAT.
F10: Total adjusted to reflect the transfer of 5,104 Class B shares from GRAT to direct holdings.
F11: These stock appreciation rights were previously reported as covering 28,265 shares at an exercise price of $23.047, but were adjusted to reflect the December 2021 special dividend.
F12: These stock appreciation rights were previously reported as covering 42,910 shares at an exercise price of $28.433, but were adjusted to reflect the December 2021 special dividend.
F13: These stock appreciation rights were previously reported as covering 33,676 shares at an exercise price of $36.109, but were adjusted to reflect the December 2021 special dividend.
F14: These stock appreciation rights were previously reported as covering 38,419 shares at an exercise price of $40.145, but were adjusted to reflect the December 2021 special dividend.
F15: These stock appreciation rights were previously reported as covering 56,472 shares at an exercise price of $38.481, but were adjusted to reflect the December 2021 special dividend.
F16: These stock appreciation rights were previously reported as covering 47,637 shares at an exercise price of $39.757, but were adjusted to reflect the December 2021 special dividend.
F17: These stock appreciation rights were previously reported as covering 29,569 shares at an exercise price of $54, but were adjusted to reflect the December 2021 special dividend.
F18: These stock appreciation rights were previously reported as covering 30,264 shares at an exercise price of $54.64, but were adjusted to reflect the December 2021 special dividend.
F19: These stock appreciation rights were previously reported as covering 23,056 shares at an exercise price of $69.21, but were adjusted to reflect the December 2021 special dividend.
F20: These stock appreciation rights were previously reported as covering 13,519 shares at an exercise price of $71.24, but were adjusted to reflect the December 2021 special dividend.