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) 12/14/2017 | ||||||||||||||||||||||||||
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 | 01/04/2018 | G | V | 446 | A | $0 | 413,482 | D | ||
Class A Common | 01/09/2018 | G | V | 701,650 | A | $0 | 1,115,132 | D | ||
Class A Common | 01/04/2018 | G | V | 1,792 | D | $0 | 1,113,340 | D | ||
Class B Common | 01/09/2018 | G | V | 362,302 | A | $0 | 990,821(1) | D | ||
Class B Common | 04/12/2018 | G | V | 681,500 | D | $0 | 309,321 | D | ||
Class B Common | 12/14/2017 | G | V | 420 | A | $0 | 9,097(2) | I | By Spouse | |
Class A Common | 40,878(3) | I | 2015 Trust | |||||||
Class A Common | 36,104 | I | Hedge Street Partners LLC | |||||||
Class A Common | 228,302 | I | SKCJ Investments LLC | |||||||
Class B Common | 22,616(4) | I | 2015 Trust | |||||||
Class B Common | 20,306(5) | I | Hedge Street Partners LLC | |||||||
Class B Common | 126,217(6) | I | SKCJ Investments LLC |
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. On February 28, 2018, the issuer completed a stock split resulting in the distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. On April 23, 2018, the issuer paid a special cash dividend. Total has been updated to reflect the acquisition of 420,830 additional shares in the February 2018 stock split and to correct a prior minor mathematical error. All transactions reported on this form that occurred before the stock split are presented on a pre-split basis. |
2. Total has been updated to reflect the acquisition of 1,819 additional shares in the February 2018 stock split. |
3. The reporting person no longer has a reportable beneficial interest in the Child-1 account and Child-2 account included in the reporting person's prior reports. |
4. Total has been updated to reflect the acquisition of 12,698 additional shares in the February 2018 stock split. |
5. Total has been updated to reflect the acquisition of 11,282 additional shares in the February 2018 stock split. |
6. Total has been updated to reflect the acquisition of 70,903 additional shares in the February 2018 stock split. |
Remarks: |
Michael E. Carr, Jr. Attorney in Fact for Stuart R. Brown | 06/13/2018 | |
** 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. |