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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 | ||||||||
| Stock Appreciation Right | $ 17.755 (6) | 01/03/2017 | M | 14,262 | 05/01/2011 | 04/30/2018 | Class B Common | 14,262 | $ 0 | 0 (6) | D | ||||
| Stock Appreciation Right | $ 13.525 (7) | 05/01/2012 | 04/30/2019 | Class B Common | 22,926 | 22,926 (7) | D | ||||||||
| Stock Appreciation Right | $ 19.215 (8) | 05/01/2013 | 04/30/2020 | Class B Common | 25,180 | 25,180 (8) | D | ||||||||
| Stock Appreciation Right | $ 23.2 (9) | 05/01/2014 | 04/30/2021 | Class B Common | 28,730 | 28,730 (9) | D | ||||||||
| Stock Appreciation Right | $ 29.35 (10) | 05/01/2015 | 04/30/2022 | Class B Common | 22,196 | 22,196 (10) | D | ||||||||
| Stock Appreciation Right | $ 36.21 (11) | 05/01/2016 | 04/30/2023 | Class B Common | 18,532 | 18,532 (11) | D | ||||||||
| Stock Appreciation Right | $ 45.985 (12) | 05/01/2017 | 04/30/2024 | Class B Common | 26,850 | 26,850 (12) | D | ||||||||
| Stock Appreciation Right | $ 51.125 (13) | 05/01/2018 | 04/30/2025 | Class B Common | 26,758 | 26,758 (13) | D | ||||||||
| Stock Appreciation Right | $ 49.005 (14) | 05/01/2019 | 04/30/2026 | Class B Common | 41,482 | 41,482 (14) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| MORREAU JANE C 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
EVP, Chief Financial Officer | |||
| Michael E. Carr, Jr., Attorney in Fact for Jane C. Morreau | 01/05/2017 | |
| **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) | On August 18, 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 52 additional shares. |
| (2) | The closing price of BF-B on December 30, 2016 was used to calculate the withholding obligation. |
| (3) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $45.1644 to $45.19, 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 purchased at each separate price within the range set forth in this footnote. |
| (4) | Total updated to reflect dividend reinvestment and additional shares acquired in the August 2016 stock split. |
| (5) | Number of shares acquired through the issuer's employee stock purchase program as of January 3, 2017. Also updated to reflect additional shares acquired in the August 2016 stock split. |
| (6) | These stock appreciation rights were previously reported as covering 7,131 shares at an exercise price of $35.51, but were adjusted to reflect the August 2016 stock split. |
| (7) | These stock appreciation rights were previously reported as covering 11,463 shares at an exercise price of $27.05, but were adjusted to reflect the August 2016 stock split. |
| (8) | These stock appreciation rights were previously reported as covering 12,590 shares at an exercise price of $38.43, but were adjusted to reflect the August 2016 stock split. |
| (9) | These stock appreciation rights were previously reported as covering 14,365 shares at an exercise price of $46.40, but were adjusted to reflect the August 2016 stock split. |
| (10) | 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. |
| (11) | These stock appreciation rights were previously reported as covering 9,266 shares at an exercise price of $72.42, but were adjusted to reflect the August 2016 stock split. |
| (12) | These stock appreciation rights were previously reported as covering 13,425 shares at an exercise price of $91.97, but were adjusted to reflect the August 2016 stock split. |
| (13) | These stock appreciation rights were previously reported as covering 13,379 shares at an exercise price of $102.25, but were adjusted to reflect the August 2016 stock split. |
| (14) | These stock appreciation rights were previously reported as covering 20,741 shares at an exercise price of $98.01, but were adjusted to reflect the August 2016 stock split. |