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)
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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 | 14,014 | A | $0 | 14,014 | I | CLB Trust fbo Chiara Brown | |
Class B Common | 06/14/2016 | G | V | 10,320 | A | $0 | 10,320 | I | CLB Trust fbo Chiara Brown | |
Class A Common | 06/14/2016 | G | V | 13,822 | A | $0 | 13,822 | I | CLB Trust fbo William Brown | |
Class B Common | 06/14/2016 | G | V | 10,272 | A | $0 | 10,272 | I | CLB Trust fbo William Brown | |
Class A Common | 06/14/2016 | G | V | 21,239 | A | $0 | 21,239 | I | CLB Trust fbo Catalina Brown | |
Class B Common | 06/14/2016 | G | V | 12,127 | A | $0 | 12,127 | I | CLB Trust fbo Catalina Brown | |
Class A Common | 07/12/2016 | W | V | 885 | A | $0 | 885 | I | OB2 Marital 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 | 1,233 | D | ||||||||
Class B Common | 6,703,641 | I | Olympus Three LLC | |||||||
Class B Common | 45,671 | I | CLB 2012 Trust | |||||||
Class B Common | 1,924 | I | Trust fbo Child-2 | |||||||
Class A Common | 10,648 | I | Trust fbo Child-1 | |||||||
Class A Common | 33,646 | I | GRAT #2 | |||||||
Class A Common | 20,439 | I | Trust fbo Owsley Brown III | |||||||
Class B Common | 562 | I | c/f Child-2 | |||||||
Class B Common | 117 | I | Trust fbo Child-3 | |||||||
Class B Common | 712 | I | Trust fbo Victoire Brown | |||||||
Class A Common | 2,290 | I | CLB 2012 Trust | |||||||
Class A Common | 13,063 | I | Woodford Partners California, LLC | |||||||
Class A Common | 51,873 | I | GRAT #1 |
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 |
Explanation of Responses: |
1. Formerly known as the GST Non-Exempt QTIP Trust. |
2. Formerly known as the GST Exempt QTIP Trust. |
Remarks: |
Michael E. Carr, Attorney in Fact for Owsley Brown III | 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. |