0000014693-16-000213.txt : 20160801 0000014693-16-000213.hdr.sgml : 20160801 20160801150422 ACCESSION NUMBER: 0000014693-16-000213 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160728 FILED AS OF DATE: 20160801 DATE AS OF CHANGE: 20160801 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: 001-00123 FILM NUMBER: 161796995 MAIL ADDRESS: STREET 1: 850 DIXIE HIGHWAY CITY: LOUISVILLE STATE: KY ZIP: 40210 4 1 wf-form4_147007824937192.xml FORM 4 X0306 4 2016-07-28 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001362478 Brown George Garvin IV 850 DIXIE HIGHWAY LOUISVILLE KY 40210 1 0 0 0 Class A Common 57837 D Class B Common 275850 D Class A Common 496 I GGB4 2010#2 LLC Class A Common 529554 I GGB4 2010 #1 LP Class A Common 104457 I 2012 GRAT Class A Common 11620 I GGB IV CLAT Class A Common 2580235.50 I GGB4 2012 LP Class A Common 7471 I Spouse's trust Class A Common 47625 I Sullivan Street Partners Class A Common 10190 I 2010 GRAT Class A Common 7346 I Crummey Trust Class B Common 2973 I Spouse's trust Class B Common 17418 I 2010 GRAT Class B Common 78300 I GGB4 2010#2 LLC Class B Common 3095 I Crummey Trust Class B Common 12979.8325 I By 401k Class B Common 255168 I GGB4 2012 LP Class B Common 2746 I CBGB LLC Deferred Stock Units 2016-07-28 4 A 0 2972.2275 0 A Class A Common 2972.2275 6162.70 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 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 Number of shares acquired through the issuer's 401(k) plan as of July 27, 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 28, 2016, were based on the closing price of the Company's Class A common stock on that date ($105.14). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits. 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 25, 2013, and vest April 30, 2017. The restricted stock units were granted on July 24, 2014, and vest April 30, 2018. The restricted stock units were granted on July 23, 2015, and vest on April 30, 2019. Michael E. Carr, Jr., Attorney in Fact for George Garvin Brown IV 2016-08-01