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4//SEC Filing

BROWN FORMAN CORP 4

Accession 0000014693-17-000004

$BF-ACIK 0000014693operating
View on SEC.govCompany Profile

Filed

Jan 17, 7:00 PM ET

Accepted

Jan 18, 4:40 PM ET

Size

24.9 KB

Accession

0000014693-17-000004

Insider Transaction Report

Form 4
Period: 2017-01-13
BROWN FORMAN CORPBFA, BFB
Jones Jill Ackerman
Senior Vice President
Transactions
  • Tax Payment

    Class B Common

    2017-01-13$44.17/sh−23,003$1,016,043→ 50,365 total
  • Exercise/Conversion

    Class B Common

    2017-01-13$11.60/sh+33,518$388,809→ 73,368 total
  • Sale

    Class B Common

    2017-01-13$43.92/sh−10,515$461,832→ 39,850 total
  • Exercise/Conversion

    Stock Appreciation Right

    2017-01-13−33,518→ 0 total
    Exercise: $23.20From: 2014-05-01Exp: 2021-04-30→ Class B Common (33,518 underlying)
  • Discretionary Transaction

    Class B Common

    2017-01-13$43.96/sh−3,566.028$156,763→ 11,405.781 total(indirect: By 401(k))
Holdings

  • Class A Common

    (indirect: DRIP)
    694.45

  • Class B Common

    (indirect: ESPP)
    629.787

  • Class A Common

    (indirect: ESPP)
    5,499.383

  • Class B Common

    (indirect: By Trust)
    90

  • Stock Appreciation Right

    Exercise: $45.98From: 2017-05-01Exp: 2024-04-30→ Class B Common (20,444 underlying)
    20,444

  • Class B Common

    (indirect: By Trust)
    90

  • Stock Appreciation Right

    Exercise: $29.35From: 2015-05-01Exp: 2022-04-30→ Class B Common (22,196 underlying)
    22,196

  • Class A Common

    41,872

  • Stock Appreciation Right

    Exercise: $49.01From: 2019-05-01Exp: 2026-04-30→ Class B Common (29,330 underlying)
    29,330

  • Stock Appreciation Right

    Exercise: $36.21From: 2016-05-01Exp: 2023-04-30→ Class B Common (19,542 underlying)
    19,542

  • Stock Appreciation Right

    Exercise: $51.13From: 2018-05-01Exp: 2025-04-30→ Class B Common (25,184 underlying)
    25,184
Footnotes (14)
  • [F1]In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of additional shares. Total also updated to correct prior dividend reinvestment.
  • [F10]These stock appreciation rights were previously reported as covering 10,222 shares at an exercise price of $91.97 but were adjusted to reflect the August 2016 stock split.
  • [F11]These stock appreciation rights were previously reported as covering 14,665 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split.
  • [F12]These stock appreciation rights were previously reported as covering 11,098 shares at an exercise price of $58.70, but were adjusted to reflect the August 2016 stock split.
  • [F13]These stock appreciation rights were previously reported as covering 9,771 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split.
  • [F14]These stock appreciation rights were previously reported as covering 12,592 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split.
  • [F2]The closing price of BF-B on January 12, 2017 was used to calculate the withholding obligation.
  • [F3]The price reported in Column 4 is a weighted average price. These shares were multiple transactions at prices ranging from $43.875 to $43.97, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the range set forth in this footnote.
  • [F4]Number of shares acquired through issuer's 401(k) plan as of January 13, 2017, including additional shares issued in the August 2016 stock split.
  • [F5]Reflects the acquisition of 20,936 additional shares in the August 2016 stock split.
  • [F6]Number of shares acquired through the issuer's dividend reinvestment plan as of January 17, 2017, including additional shares issued in the August 2016 stock split.
  • [F7]Number of shares acquired through the issuer's employee stock purchase program as of January 17, 2017, including additional shares in the August 2016 stock split.
  • [F8]Reflects the acquisition of 45 additional shares in the August 2016 stock split.
  • [F9]These stock appreciation rights were previously reported as covering 16,759 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 Stock Split.

Documents

1 file

Issuer

BROWN FORMAN CORP

CIK 0000014693

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000014693

Filing Metadata

Form type
4
Filed
Jan 17, 7:00 PM ET
Accepted
Jan 18, 4:40 PM ET
Size
24.9 KB
View on SEC.gov