0000014693-16-000245.txt : 20161102 0000014693-16-000245.hdr.sgml : 20161102 20161102164811 ACCESSION NUMBER: 0000014693-16-000245 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161102 DATE AS OF CHANGE: 20161102 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: Hamel Matthew E CENTRAL INDEX KEY: 0001418348 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00123 FILM NUMBER: 161968662 MAIL ADDRESS: STREET 1: 850 DIXIE HIGHWAY CITY: LOUISVILLE STATE: KY ZIP: 40210 4 1 wf-form4_147811967759313.xml FORM 4 X0306 4 2016-10-31 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001418348 Hamel Matthew E 850 DIXIE HIGHWAY LOUISVILLE KY 40210 0 1 0 0 EVP, Gen Counsel and Secretary Class B Common 2016-10-31 4 M 0 7600 16.825 A 13702 D Class B Common 2016-10-31 4 F 0 5197 46.03 D 8505 D Class A Common 22482 D Class A Common 0.1378 I DRIP Class B Common 65.2227 I ESPP Class B Common 10847.2805 I By 401k Stock Appreciation Right 16.825 2016-10-31 4 M 0 7600 0 D 2010-05-01 2017-04-30 Class B Common 7600.0 15118 D Stock Appreciation Right 17.755 2011-05-01 2018-04-30 Class B Common 29294.0 29294 D Stock Appreciation Right 13.525 2012-05-01 2019-04-30 Class B Common 59996.0 59996 D Stock Appreciation Right 19.215 2013-05-01 2020-04-30 Class B Common 50354.0 50354 D Stock Appreciation Right 23.2 2014-05-01 2021-04-30 Class B Common 47884.0 47884 D Stock Appreciation Right 29.35 2015-05-01 2022-04-30 Class B Common 44390.0 44390 D Stock Appreciation Right 36.21 2016-05-01 2023-04-30 Class B Common 33694.0 33694 D Stock Appreciation Right 45.985 2017-05-01 2024-04-30 Class B Common 26444.0 26444 D Stock Appreciation Right 51.125 2018-05-01 2025-04-30 Class B Common 30168.0 30168 D Stock Appreciation Right 49.005 2019-05-01 2026-04-30 Class B Common 44344.0 44344 D On August 18, 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 2,983 additonal shares. Total also updated to correct prior reporting error. The closing price of BF-B on October 28, 2016 was used to calculate the withholding obligation. Reflects the acquisition of 10,633 additional shares in the August 2016 stock split and the transfer of 1,216 shares on August 23, 2016, from dividend reinvestment holdings to direct holdings. Number of shares acquired through the issuer's dividend reinvestment plan as of October 6, 2016, including additional shares issued in the August 2016 stock split. Also updated to reflect the transfer of 1,216 shares on August 23, 2016, from dividend reinvestment holdings to direct holdings. Number of shares acquired through the issuer's employee stock purchase program as of October 17, 2016, including additional shares issued in the August 2016 stock split. Total also updated to correct prior reporting error. Number of shares acquired through the issuer's 401(k) plan as of October 31, 2016, including additional shares issued in the August 2016 stock split. These stock appreciation rights were previously reported as covering 11,359 shares at an exercise price of $33.65, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 14,647 shares at an exercise price of $35.51, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 29,998 shares at an exercise price of $27.05, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 25,177 shares at an exercise price of $38.43, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 23,942 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 22,195 shares at an exercise price of $58.70, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 16,847 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 13,222 shares at an exercise price of $91.97, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 15,084 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 22,172 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split. Michael E. Carr, Jr., Attorney in Fact for Matthew E. Hamel 2016-11-02