0000014693-17-000004.txt : 20170118 0000014693-17-000004.hdr.sgml : 20170118 20170118164023 ACCESSION NUMBER: 0000014693-17-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170113 FILED AS OF DATE: 20170118 DATE AS OF CHANGE: 20170118 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: Jones Jill Ackerman CENTRAL INDEX KEY: 0001468766 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00123 FILM NUMBER: 17533853 MAIL ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 4 1 wf-form4_148477560340507.xml FORM 4 X0306 4 2017-01-13 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001468766 Jones Jill Ackerman 850 DIXIE HIGHWAY LOUISVILLE KY 40210 0 1 0 0 Executive Vice President Class B Common 2017-01-13 4 M 0 33518 11.60 A 73368 D Class B Common 2017-01-13 4 F 0 23003 44.17 D 50365 D Class B Common 2017-01-13 4 S 0 10515 43.9213 D 39850 D Class B Common 2017-01-13 4 I 0 3566.0275 43.96 D 11405.7812 I By 401k Class A Common 41872 D Class A Common 694.4495 I DRIP Class B Common 629.7865 I ESPP Class A Common 5499.3827 I ESPP Class B Common 90 I Trust fbo Child-1 Class B Common 90 I Trust fbo Child-2 Stock Appreciation Right 23.2 2017-01-13 4 M 0 33518 0 D 2014-05-01 2021-04-30 Class B Common 33518.0 0 D Stock Appreciation Right 45.985 2017-05-01 2024-04-30 Class B Common 20444.0 20444 D Stock Appreciation Right 49.005 2019-05-01 2026-04-30 Class B Common 29330.0 29330 D Stock Appreciation Right 29.35 2015-05-01 2022-04-30 Class B Common 22196.0 22196 D Stock Appreciation Right 36.21 2016-05-01 2023-04-30 Class B Common 19542.0 19542 D Stock Appreciation Right 51.125 2018-05-01 2025-04-30 Class B Common 25184.0 25184 D 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 additional shares. Total also updated to correct prior dividend reinvestment. The closing price of BF-B on January 12, 2017 was used to calculate the withholding obligation. The price reported in Column 4 is a weighted average price. These shares were multiple transactions at prices ranging from $43.875 to $43.97, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the range set forth in this footnote. Number of shares acquired through issuer's 401(k) plan as of January 13, 2017, including additional shares issued in the August 2016 stock split. Reflects the acquisition of 20,936 additional shares in the August 2016 stock split. Number of shares acquired through the issuer's dividend reinvestment plan as of January 17, 2017, including additional shares issued in the August 2016 stock split. Number of shares acquired through the issuer's employee stock purchase program as of January 17, 2017, including additional shares in the August 2016 stock split. Reflects the acquisition of 45 additional shares in the August 2016 stock split. These stock appreciation rights were previously reported as covering 16,759 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 10,222 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 14,665 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split. These stock appreciation rights were previously reported as covering 11,098 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 9,771 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 12,592 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split. Michael E. Carr, Jr., Attorney in Fact for Jill Ackerman Jones 2017-01-18