SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol BROWN FORMAN CORP [ BFA, BFB ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 05/18/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common | 05/18/2016 | W | V | 897 | A | $0 | 897 | I | Owsley Brown II Estate | |
Class B Common | 05/18/2016 | W | V | 611 | A | $0 | 611 | I | Owsley Brown II Estate | |
Class A Common | 06/14/2016 | G | V | 164,780 | D | $0 | 31,492 | I | CLB Grandchildren Eq. Tr. | |
Class B Common | 06/14/2016 | G | V | 101,880 | D | $0 | 20,805 | I | CLB Grandchildren Eq. Tr. | |
Class A Common | 06/14/2016 | G | V | 20,687 | A | $0 | 20,687 | I | CLB Trust fbo Cora Holland | |
Class B Common | 06/14/2016 | G | V | 11,334 | A | $0 | 11,334 | I | CLB Trust fbo Cora Holland | |
Class A Common | 06/14/2016 | G | V | 21,728 | A | $0 | 21,728 | I | CLB Trust fbo Owsley Holland | |
Class B Common | 06/14/2016 | G | V | 12,244 | A | $0 | 12,244 | I | CLB Trust fbo Owsley Holland | |
Class A Common | 06/14/2016 | G | V | 21,728 | A | $0 | 21,728 | I | CLB Trust fbo Lilla Holland | |
Class B Common | 06/14/2016 | G | V | 12,244 | A | $0 | 12,244 | I | CLB Trust fbo Lilla Holland | |
Class A Common | 07/12/2016 | W | V | 885 | A | $0 | 885 | I | OB2 Martial Trust(1) | |
Class B Common | 07/12/2016 | W | V | 603 | A | $0 | 202,339 | I | OB2 Marital Trust(1) | |
Class A Common | 07/12/2016 | W | V | 12 | A | $0 | 12 | I | OB2 Reverse QTIP Trust(2) | |
Class B Common | 07/12/2016 | W | V | 8 | A | $0 | 51,448 | I | OB2 Reverse QTIP Trust(2) | |
Class A Common | 07/12/2016 | W | V | 897 | D | $0 | 0 | I | Owsley Brown II Estate | |
Class B Common | 07/12/2016 | W | V | 611 | D | $0 | 0 | I | Owsley Brown II Estate | |
Class A Common | 517,105 | D | ||||||||
Class B Common | 52,591(3) | D | ||||||||
Class B Common | 55,746(3) | I | ABH GRAT 2007 | |||||||
Class B Common | 962(4) | I | Holland Family Trust | |||||||
Class A Common | 115,886 | I | Trust fbo Children | |||||||
Class B Common | 96,196 | I | Trust fbo Children | |||||||
Class A Common | 2,742 | I | Trust fbo Child-3 | |||||||
Class A Common | 241,142 | I | ABH GRAT 2007 | |||||||
Class A Common | 18 | I | Eleanor Lee Trusts | |||||||
Class B Common | 5,109 | I | Trust fbo Augusta Holland | |||||||
Class B Common | 95,485 | I | OB3 GST Exempt Trust | |||||||
Class A Common | 316,837 | I | Hebe Three Limited Partnership | |||||||
Class A Common | 20,439 | I | Trust fbo Augusta Holland |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Stock Units | (5) | (6) | (6) | Class A Common | 591.64 | 591.64 | D |
Explanation of Responses: |
1. Formerly known as the GST Non-Exempt QTIP Trust. |
2. Formerly known as the GST Exempt QTIP Trust. |
3. Totals updated to reflect distribution of 555 Class B shares by GRAT to direct holdings on April 1, 2016. |
4. Total updated to correct prior error. |
5. Under the Brown-Forman Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 23, 2015, were based on the closing price of the Company's Class A common stock on that date ($111.30). On each dividend payment date, participants are creditied with DSU equivalents. |
6. Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the Director's termination from Board service. |
Remarks: |
Michael E. Carr, Attorney in Fact for Augusta Brown Holland | 07/15/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |