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) 03/23/2017 | ||||||||||||||||||||||||||
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 B Common | 09/13/2016 | G | V | 1,200 | A | $0 | 7,390(1) | I | Crummey Trust | |
Class A Common | 02/13/2017 | G | V | 3,645 | D | $0 | 112,029(2) | D | ||
Class A Common | 02/13/2017 | G | V | 3,070 | A | $0 | 18,012(3) | I | Spouse's trust | |
Class A Common | 02/13/2017 | G | V | 1,150 | A | $0 | 15,842(4) | I | Crummey Trust | |
Class A Common | 03/23/2017 | J(5) | 3,000,000 | D | (5) | 2,160,472(6) | I | GGB4 2012 LP | ||
Class A Common | 20,380(7) | I | 2010 GRAT | |||||||
Class A Common | 208,914(8) | I | 2012 GRAT | |||||||
Class A Common | 23,240(9) | I | GGB IV CLAT | |||||||
Class A Common | 1,059,108(10) | I | GGB4 2010 #1 LP | |||||||
Class A Common | 992(11) | I | GGB4 2010#2 LLC | |||||||
Class A Common | 95,250(12) | I | Sullivan Street Partners | |||||||
Class B Common | 554,445(13) | D | ||||||||
Class B Common | 34,836(14) | I | 2010 GRAT | |||||||
Class B Common | 25,959.665(15) | I | By 401k | |||||||
Class B Common | 0(16) | I | CBGB LLC | |||||||
Class B Common | 156,600(17) | I | GGB4 2010#2 LLC | |||||||
Class B Common | 510,337(18) | I | GGB4 2012 LP | |||||||
Class B Common | 5,946(19) | I | Spouse's trust |
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. Reflects the acquisition of 3,095 additional shares in the August 2016 stock split. |
2. Reflects the acquisition of 57,837 additional shares in the August 2016 stock split. |
3. Reflects the acquisition of 7,471 additional shares in the August 2016 stock split. |
4. Reflects the acquisition of 7,346 additional shares in the August 2016 stock split. |
5. Reflects contribution of shares to a limited liability company. |
6. Reflects the acquisition of 2,580,236 additional shares in the August 2016 stock split. |
7. Reflects the acquisition of 10,190 additional shares in the August 2016 stock split. |
8. Reflects the acquisition of 104,457 additional shares in the August 2016 stock split. |
9. Reflects the acquisition of 11,620 additional shares in the August 2016 stock split. |
10. Reflects the acquisition of 529,554 additional shares in the August 2016 stock split. |
11. Reflects the acquisition of 496 additional shares in the August 2016 stock split. |
12. Reflects the acquisition of 47,625 additional shares in the August 2016 stock split. |
13. Reflects the acquisition of 275,850 additional shares in the August 2016 stock split. In addition, on September 14, 2016, CBGB LLC made a pro rata distribution of 2,746 Class B shares to the reporting person. |
14. Reflects the acquisition of 17,418 additional shares in the August 2016 stock split. |
15. Total updated to reflect shares acquired in the August 2016 stock split. |
16. Reflects the acquisition of 2,746 additional shares in the August 2016 stock split. Total also updated to reflect the distribution of all shares on September 14, 2016. |
17. Reflects the acquisition of 78,300 additional shares in the August 2016 stock split. |
18. Reflects the acquisition of 255,168 additional shares in the August 2016 stock split. |
19. Reflects the acquisition of 2,973 additional shares in the August 2016 stock split. |
Remarks: |
Michael E. Carr, Jr., Attorney in Fact for George Garvin Brown IV | 03/27/2017 | |
** 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. |