0000014693-18-000035.txt : 20180502 0000014693-18-000035.hdr.sgml : 20180502 20180502194102 ACCESSION NUMBER: 0000014693-18-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180430 FILED AS OF DATE: 20180502 DATE AS OF CHANGE: 20180502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCallum Mark I CENTRAL INDEX KEY: 0001369191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00123 FILM NUMBER: 18801350 MAIL ADDRESS: STREET 1: 850 DIXIE HIGHWAY CITY: LOUISVILLE STATE: KY ZIP: 40210 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 4 1 wf-form4_152530441284865.xml FORM 4 X0306 4 2018-04-30 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001369191 McCallum Mark I 850 DIXIE HIGHWAY LOUISVILLE KY 40210 0 1 0 0 EVP/Pres. Jack Daniel's Brands Class A Common 2018-04-30 4 F 0 996 53.37 D 46627 D Class B Common 2018-04-30 4 F 0 249 56.04 D 25048 D Class B Common 67 I By Son Stock Appreciation Right 18.217 2014-05-01 2021-04-30 Class B Common 58947.0 58947 D Stock Appreciation Right 23.047 2015-05-01 2022-04-30 Class B Common 63316.0 63316 D Stock Appreciation Right 28.433 2016-05-01 2023-04-30 Class B Common 40678.0 40678 D Stock Appreciation Right 36.109 2017-05-01 2024-04-30 Class B Common 34836.0 34836 D Stock Appreciation Right 40.145 2018-05-01 2025-04-30 Class B Common 28399.0 28399 D Stock Appreciation Right 38.481 2019-05-01 2026-04-30 Class B Common 38241.0 38241 D Stock Appreciation Right 39.757 2020-05-01 2027-04-30 Class B Common 32258.0 32258 D To satisfy withholding obligations associated with the July 24, 2014 award of Class A common stock that vested on April 30, 2018, the reporting person surrendered 996 shares of Class A common stock. The closing price of BF-A on April 30, 2018 was used to calculate the withholding obligation. To satisfy withholding obligations associated with the shares of Class B performance-based restricted stock that were issued in the February 2018 stock split and vested on April 30, 2018, the reporting person surrendered 249 shares of Class B common stock. The closing price of BF-B on April 30, 2018 was used to calculate the withholding obligation. On February 28, 2018, the issuer completed a stock split resulting in the distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. On April 23, 2018, the issuer paid a special cash dividend. Total has been updated to reflect the acquisition of 14,583 additional shares in the February 2018 stock split, including 764 shares of Class B common performance-based restricted stock issued in connection with the July 24, 2014 award of Class A common stock. Total has been updated to reflect the acquisition of 13 additional shares in the February 2018 stock split. These stock appreciation rights were previously reported as covering 46,288 shares at an exercise price of $23.20, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 49,718 shares at an exercise price of $29.35, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 31,942 shares at an exercise price of $36.21, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 27,354 shares at an exercise price of $45.985, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 22,300 shares at an exercise price of $51.125, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 30,028 shares at an exercise price of $49.005, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. These stock appreciation rights were previously reported as covering 25,330 shares at an exercise price of $50.63, but were adjusted to reflect the February 2018 stock split and April 2018 special dividend. Michael E. Carr, Jr., Attorney in Fact for Mark I. McCallum 2018-05-02