Annual Statement of Changes in Beneficial Ownership (5)
14 Juni 2018 - 11:41PM
Edgar (US Regulatory)
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FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Holland Augusta Brown
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2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP [BFA, BFB]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
4/30/2018
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(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Class A Common
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10/20/2017
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G
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1577
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D
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$0
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1016124
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D
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Class A Common
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12/28/2017
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G
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211
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A
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$0
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1016335
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D
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Class A Common
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12/28/2017
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G
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211
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A
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$0
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5244
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I
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By Spouse
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Class A Common
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12/28/2017
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G
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211
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A
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$0
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8060
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I
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Trust fbo Child-1
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Class A Common
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12/28/2017
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G
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211
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A
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$0
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5978
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I
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Trust fbo Child-2
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Class A Common
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12/28/2017
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G
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211
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A
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$0
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5978
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I
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Trust fbo Child-3
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Class A Common
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482284
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I
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ABH GRAT 2007
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Class A Common
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84308
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I
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ABH GRAT 2011
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Class A Common
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41374
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I
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CLB Trust fbo Child-1
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Class A Common
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43456
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I
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CLB Trust fbo Child-2
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Class A Common
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43456
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I
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CLB Trust fbo Child-3
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Class A Common
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40878
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I
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Trust fbo Augusta Holland
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Class B Common
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418059
(1)
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D
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Class B Common
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245916
(2)
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I
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ABH GRAT 2007
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Class B Common
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76402
(3)
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I
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ABH GRAT 2011
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Class B Common
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7201
(4)
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I
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By Spouse
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Class B Common
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38678
(5)
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I
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CLB Trust fbo Child-1
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Class B Common
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41474
(6)
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I
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CLB Trust fbo Child-2
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Class B Common
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41474
(6)
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I
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CLB Trust fbo Child-3
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Class B Common
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1365
(7)
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I
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Hebe Exempt Trust fbo ABH
(8)
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Class B Common
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2412
(9)
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I
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Holland Family Trust
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Class B Common
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4290
(10)
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I
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Trust fbo Child-1
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Class B Common
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1494
(11)
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I
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Trust fbo Child-2
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Class B Common
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1494
(11)
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I
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Trust fbo Child-3
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Class B Common
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22991
(12)
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I
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Trust fbo Augusta Holland
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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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 292,941 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers from the ABH 2007 GRAT of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017, and a transfer to the ABH 2011 GRAT of 30,317 shares on May 14, 2018.
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(2)
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Total has been updated to reflect the acquisition of 145,640 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers to the reporting person's direct holdings of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017.
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(3)
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Total has been updated to reflect the acquisition of 26,078 additional shares in the February 2018 stock split. Total has also been updated to reflect a transfer from the reporting person's direct holdings of 30,317 shares on May 14, 2018.
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(4)
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Total has been updated to reflect the acquisition of 2,489 additional shares in the February 2018 stock split.
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(5)
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Total has been updated to reflect the acquisition of 16,010 additional shares in the February 2018 stock split.
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(6)
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Total has been updated to reflect the acquisition of 16,986 additional shares in the February 2018 stock split.
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(7)
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Total has been updated to reflect the acquisition of 273 additional shares in the February 2018 stock split.
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(8)
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Previously reported as the Hebe Exempt Trust.
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(9)
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Total has been updated to reflect the acquisition of 482 additional shares in the February 2018 stock split.
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(10)
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Total has been updated to reflect the acquisition of 2,470 additional shares in the February 2018 stock split.
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(11)
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These shares were acquired in the February 2018 stock split.
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(12)
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Total has been updated to reflect the acquisition of 12,773 additional shares in the February 2018 stock split.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Holland Augusta Brown
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
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X
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Signatures
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Michael E. Carr, Jr., Attorney in Fact for Augusta Brown Holland
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6/14/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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