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) 12/22/2016 | ||||||||||||||||||||||||||
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 | 10/10/2016 | G | V | 283 | A | $0 | 2,749(1) | D | ||
Class A Common | 10/10/2016 | G | V | 1,801 | D | $0 | 948 | D | ||
Class A Common | 10/10/2016 | G | V | 283 | A | $0 | 21,579(2) | I | Trust fbo Child-1 | |
Class A Common | 10/10/2016 | G | V | 283 | A | $0 | 21,195(3) | I | Trust fbo Child-2 | |
Class A Common | 10/10/2016 | G | V | 283 | A | $0 | 6,745(4) | I | Trust fbo Child-3 | |
Class A Common | 10/10/2016 | G | V | 283 | A | $0 | 5,533(5) | I | Trust fbo Victoire Brown | |
Class A Common | 12/22/2016 | J(6) | 643,090 | A | $46.51 | 644,038 | D | |||
Class B Common | 1,124(7) | I | c/f Child-1 | |||||||
Class B Common | 1,124(7) | I | c/f Child-2 | |||||||
Class A Common | 4,580(8) | I | CLB 2012 Trust | |||||||
Class B Common | 91,342(9) | I | CLB 2012 Trust | |||||||
Class B Common | 41,610(10) | I | CLB Grandchildren Eq. Tr. | |||||||
Class A Common | 62,984(11) | I | CLB Grandchildren Eq. Tr. | |||||||
Class B Common | 24,254(12) | I | CLB Trust fbo Child-3(13) | |||||||
Class A Common | 42,478(14) | I | CLB Trust fbo Child-3(13) | |||||||
Class B Common | 20,640(15) | I | CLB Trust fbo Child-2(16) | |||||||
Class A Common | 28,028(17) | I | CLB Trust fbo Child-2(16) | |||||||
Class B Common | 20,544(18) | I | CLB Trust fbo Child-1(19) | |||||||
Class A Common | 27,644(20) | I | CLB Trust fbo Child-1(19) | |||||||
Class A Common | 36(21) | I | Eleanor Lee Trusts | |||||||
Class B Common | 25,790(22) | I | Eleanor Lee Trusts | |||||||
Class A Common | 103,746(23) | I | GRAT #1 | |||||||
Class A Common | 67,292(24) | I | GRAT #2 | |||||||
Class B Common | 1,092(25) | I | Hebe Exempt Trust | |||||||
Class B Common | 430,568(26) | I | Hebe Three Limited Partnership |
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. 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 1,233 additional shares. |
2. Reflects the acquisition of 10,648 additional shares in the August 2016 stock split. |
3. Reflects the acquisition of 10,456 additional shares in the August 2016 stock split. |
4. Reflects the acquisition of 3,231 additional shares in the August 2016 stock split. |
5. Reflects the acquisition of 2,625 additional shares in the August 2016 stock split. |
6. On December 22, 2016, a limited partnership transferred 643,090 Class A shares to the reporting person as a partial redemption of the reporting person's interest in the partnership. |
7. Reflects the acquisition of 562 additional shares in the August 2016 stock split. |
8. Reflects the acquisition of 2,290 additional shares in the August 2016 stock split. |
9. Reflects the acquisition of 45,671 additional shares in the August 2016 stock split. |
10. Reflects the acquisition of 20,805 additional shares in the August 2016 stock split. |
11. Reflects the acquisition of 31,492 additional shares in the August 2016 stock split. |
12. Reflects the acquisition of 12,127 additional shares in the August 2016 stock split. |
13. Formerly known as CLB Trust fbo Catalina Brown. |
14. Reflects the acquisition of 21,239 additional shares in the August 2016 stock split. |
15. Reflects the acquisition of 10,320 additional shares in the August 2016 stock split. |
16. Formerly known as CLB Trust fbo Chiara Brown. |
17. Reflects the acquisition of 14,014 additional shares in the August 2016 stock split. |
18. Reflects the acquisition of 10,272 additional shares in the August 2016 stock split. |
19. Formerly known as CLB Trust fbo William Brown. |
20. Reflects the acquisition of 13,822 additional shares in the August 2016 stock split. |
21. Reflects the acquisition of 18 additional shares in the August 2016 stock split. |
22. Reflects the acquisition of 12,895 additional shares in the August 2016 stock split. |
23. Reflects the acquisition of 51,873 additional shares in the August 2016 stock split. |
24. Reflects the acquisition of 33,646 additional shares in the August 2016 stock split. |
25. Reflects the acquisition of 546 additional shares in the August 2016 stock split. |
26. Reflects the acquisition of 215,284 additional shares in the August 2016 stock split. |
Remarks: |
1st of 2 Forms |
Michael E. Carr, Attorney in Fact for Owsley Brown III | 12/27/2016 | |
** 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. |