Statement of Changes in Beneficial Ownership (4)
03 Juni 2021 - 11:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Brown Campbell P |
2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA, BFB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
850 DIXIE HIGHWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2021 |
|
(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Class B Common | 6/1/2021 | | A | | 346 (1) | A | $0 | 534253 | D | |
| Class B Common | 6/1/2021 | | F | | 128 (2) | D | $76.28 (3) | 534125 | D | |
| Class B Common | | | | | | | | 22944.3775 (4) | I | By 401k |
| Class B Common | | | | | | | | 12853.1422 (5) | I | ESPP |
| Class B Common | | | | | | | | 916987 | I | Brown Barker 2013 LLC |
| Class B Common | | | | | | | | 264777 | I | CPB 2010 #1 LLC |
| Class B Common | | | | | | | | 220090 | I | GGB4 2013 Trust |
| Class B Common | | | | | | | | 88166 | I | CPBee Charitable 2018 LLC |
| Class B Common | | | | | | | | 45 | I | Child #1 |
| Class B Common | | | | | | | | 45 | I | Child #2 |
| Class B Common | | | | | | | | 299326 | I | CPBee Endowment 2018 LLC |
| Class B Common | | | | | | | | 60543 | I | CPB 2010 #2 LLC |
| Class B Common | | | | | | | | 30285 | I | Trust FBO Campbell P. Brown |
| Class B Common | | | | | | | | 88166 | I | CPBee Sale 2018 LLC |
| Class B Common | | | | | | | | 35625 | I | Trust FBO Geo Garvin Brown IV (Irrev) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | These shares were issued on June 1, 2021, in connection with a July 26, 2018 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2021. |
| (2) | To satisfy withholding obligations associated with the July 26, 2018 award of performance-based restricted stock units that were issued as shares on June 1, 2021, the reporting person surrendered 128 shares of Class B common stock. |
| (3) | The closing price of BF-B on April 30, 2021 was used to calculate the withholding obligation. |
| (4) | Number of shares acquired through the issuer's 401(k) plan as of June 1, 2021. |
| (5) | Number of shares acquired through the issuer's employee stock purchase program as of June 1, 2021. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Brown Campbell P
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210 | X |
|
|
|
Signatures
|
| Jaileah X. Huddleston, Attorney in Fact for Campbell P. Brown | | 6/3/2021 |
| **Signature of Reporting Person | Date |
Brown Forman (NYSE:BF.B)
Historical Stock Chart
Von Jun 2024 bis Jul 2024
Brown Forman (NYSE:BF.B)
Historical Stock Chart
Von Jul 2023 bis Jul 2024
