0000014693-16-000072.txt : 20160325 0000014693-16-000072.hdr.sgml : 20160325 20160325132941 ACCESSION NUMBER: 0000014693-16-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160323 FILED AS OF DATE: 20160325 DATE AS OF CHANGE: 20160325 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROWN FORMAN CORP CENTRAL INDEX KEY: 0000014693 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 610143150 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 BUSINESS PHONE: 5025851100 MAIL ADDRESS: STREET 1: P O BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN INC DATE OF NAME CHANGE: 19870816 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown George Garvin IV CENTRAL INDEX KEY: 0001362478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 002-26821 FILM NUMBER: 161529289 MAIL ADDRESS: STREET 1: 850 DIXIE HIGHWAY CITY: LOUISVILLE STATE: KY ZIP: 40210 4 1 wf-form4_145892696945638.xml FORM 4 X0306 4 2016-03-23 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001362478 Brown George Garvin IV 850 DIXIE HIGHWAY LOUISVILLE KY 40210 1 0 0 0 Class B Common 2015-09-04 5 G 0 E 36 0 D 273427 D Class B Common 2015-10-09 5 G 0 E 1630 0 D 271797 D Class B Common 2015-10-09 5 G 0 E 520 0 A 3095 I Crummey Trust Class B Common 2015-10-09 5 G 0 E 1370 0 A 2973 I Spouse's trust Class A Common 2016-03-22 5 G 0 E 47625 0 D 69010 D Class A Common 2016-03-22 5 G 0 E 47625 0 A 47625 I Sullivan Street Partners Class A Common 2016-03-23 5 G 0 E 1650 0 D 67360 D Class A Common 2016-03-23 5 G 0 E 1400 0 A 7471 I Spouse's trust Class A Common 2016-03-23 4 J 0 9523 105.225 D 57837 D Class A Common 2016-03-23 4 J 0 9523 105.225 A 104457 I 2012 GRAT Class B Common 12891.1691 I By 401k Class A Common 57837 D Class A Common 10190 I 2010 GRAT Class B Common 17418 I 2010 GRAT Class B Common 2746 I CBGB LLC Class A Common 7346 I Crummey Trust Class A Common 11620 I GGB IV CLAT Class A Common 529554 I GGB4 2010 #1 LP Class B Common 78300 I GGB4 2010#2 LLC Class A Common 496 I GGB4 2010#2 LLC Class A Common 2580235.50 I GGB4 2012 LP Class B Common 255168 I GGB4 2012 LP Deferred Stock Units Class A Common 3161.58 3161.58 D Stock Appreciation Right 34.95 2009-05-01 2016-04-30 Class B Common 1467.0 1467 D Stock Appreciation Right 35.51 2011-05-01 2018-04-30 Class B Common 1542.0 1542 D Stock Appreciation Right 27.05 2012-05-01 2019-04-30 Class B Common 4714.0 4714 D Restricted Stock Units 2016-04-30 Class B Common 3124.0 3124 D Restricted Stock Units 2017-04-30 Class B Common 3936.0 3936 D Restricted Stock Units 2018-04-30 Class B Common 3426.0 3426 D Restricted Stock Units 2019-04-30 Class B Common 380.0 380 D Stock Appreciation Right 33.76 2010-05-01 2017-04-30 Class B Common 1679.0 1679 D On March 23, 2016, the reporting person exchanged Class A shares for cash held by a GRAT. The reporting person disclaims beneficial ownership of the shares by the GRAT except to the extent of his pecuniary interest therein. The mean price of the issuer's Class A Common stock as of March 23, 2016 ($105.225) was used to value the transaction. Number of shares acquired through the issuer's 401(k) plan as of March 24, 2016. Under the Brown-Forman Corporation 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 credited with DSU equivalents. 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. Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. The Restricted Stock Units were granted on July 26, 2012, and vest on April 30, 2016. The Restricted Stock Units were granted on July 25, 2013, and vest on April 30, 2017. The Restricted Stock Units were granted on July 24, 2014, and vest on April 30, 2018. The Restricted Stock Units were granted on July 23, 2015, and vest on April 30, 2019. The reporting person disclaims beneficial ownership of the shares held by trusts and entities set forth in this form except to the extent of his pecuniary interest therein. Kelly Bowen, Atty. in Fact for George Garvin Brown IV 2016-03-25