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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown Stuart R 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X |
Michael E. Carr, Jr. Attorney in Fact for Stuart R. Brown | 06/14/2017 | |
**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) | 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 207,367 additional shares. |
(2) | Reflects the acquisition of 1,080 additional shares in the August 2016 stock split. |
(3) | Reflects the acquisition of 114,151 additional shares in the August 2016 stock split. |
(4) | Reflects the acquisiton of 103,840 additional shares in the August 2016 stock split. |
(5) | Reflects the acquisition of 3,121 additional shares in the August 2016 stock split. |
(6) | Reflects the acquisition of 5,109 additional shares in the August 2016 stock split. |
(7) | Reflects the acquisition of 27,657 additional shares in the August 2016 stock split. |
(8) | Reflects the acquisition of 20,439 additional shares in the August 2016 stock split. |
(9) | Reflects the acquisition of 18,052 additional shares in the August 2016 stock split. |
(10) | Reflects the acquisition of 4,512 additional shares in the August 2016 stock split. |
Remarks: The reporting person disclaims beneficial ownership of shares held by entities set forth on this form except to the extent of his pecuniary interest therein. The reporting person is no longer reporting beneficial ownership of shares held by the following entities because he does not have a pecuniary interest in them: WL Lyons Brown Jr. 2012 Irrevocable Trust; Olympus One LLC; WL Lyons Brown 2002 GRAT and Trust u/w WL Lyons Brown Sr. |