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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 04/30/2016 | M | 254 | 04/30/2016(1) | (1) | Class B Common | 254 | $ 0 | 0 | D | ||||
Restricted Stock Units | (3) | 04/30/2017(4) | (4) | Class B Common | 212 | 212 | D | ||||||||
Restricted Stock Units | (3) | 04/30/2018(5) | (5) | Class B Common | 171 | 171 | D | ||||||||
Restricted Stock Units | (3) | 04/30/2019(6) | (6) | Class B Common | 158 | 158 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown J McCauley 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X |
Kelly Bowen, Attorney in Fact for J. McCauley Brown | 05/03/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Restricted Stock Units were granted on July 26, 2012, and vested April 30, 2016. |
(2) | The closing price of BF-B ($96.32) on April 29, 2016 was used to calculate the withholding obligation. |
(3) | Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
(4) | The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017. |
(5) | The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018. |
(6) | The Restricted Stock Units were granted on July 23, 2015, and vest April 30, 2019. |