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4//SEC Filing

McCallum Mark I 4

Accession 0000014693-18-000035

CIK 0000014693other
View on SEC.govCompany Profile

Filed

May 1, 8:00 PM ET

Accepted

May 2, 7:41 PM ET

Size

19.3 KB

Accession

0000014693-18-000035

Insider Transaction Report

Form 4
Period: 2018-04-30
BROWN FORMAN CORPBFA, BFB
McCallum Mark I
Executive VP, COO
Transactions
  • Tax Payment

    Class A Common

    2018-04-30$53.37/sh−996$53,157→ 46,627 total
  • Tax Payment

    Class B Common

    2018-04-30$56.04/sh−249$13,954→ 25,048 total
Holdings

  • Class B Common

    (indirect: By Son)
    67

  • Stock Appreciation Right

    Exercise: $36.11From: 2017-05-01Exp: 2024-04-30→ Class B Common (34,836 underlying)
    34,836

  • Stock Appreciation Right

    Exercise: $39.76From: 2020-05-01Exp: 2027-04-30→ Class B Common (32,258 underlying)
    32,258

  • Stock Appreciation Right

    Exercise: $28.43From: 2016-05-01Exp: 2023-04-30→ Class B Common (40,678 underlying)
    40,678

  • Stock Appreciation Right

    Exercise: $18.22From: 2014-05-01Exp: 2021-04-30→ Class B Common (58,947 underlying)
    58,947

  • Stock Appreciation Right

    Exercise: $23.05From: 2015-05-01Exp: 2022-04-30→ Class B Common (63,316 underlying)
    63,316

  • Stock Appreciation Right

    Exercise: $40.15From: 2018-05-01Exp: 2025-04-30→ Class B Common (28,399 underlying)
    28,399

  • Stock Appreciation Right

    Exercise: $38.48From: 2019-05-01Exp: 2026-04-30→ Class B Common (38,241 underlying)
    38,241
Footnotes (13)
  • [F1]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.
  • [F10]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.
  • [F11]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.
  • [F12]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.
  • [F13]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.
  • [F2]The closing price of BF-A on April 30, 2018 was used to calculate the withholding obligation.
  • [F3]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.
  • [F4]The closing price of BF-B on April 30, 2018 was used to calculate the withholding obligation.
  • [F5]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.
  • [F6]Total has been updated to reflect the acquisition of 13 additional shares in the February 2018 stock split.
  • [F7]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.
  • [F8]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.
  • [F9]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.

Documents

1 file

Issuer

BROWN FORMAN CORP

CIK 0000014693

→
Entity typeother

Related Parties

1
  • filerCIK 0001369191

Filing Metadata

Form type
4
Filed
May 1, 8:00 PM ET
Accepted
May 2, 7:41 PM ET
Size
19.3 KB
View on SEC.gov