Statement of Changes in Beneficial Ownership (4)
28 June 2018 - 7:25AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Brown Campbell P
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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. Date of Earliest Transaction
(MM/DD/YYYY)
6/25/2018
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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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Code
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V
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Amount
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(A) or (D)
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Price
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Class B Common
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6/25/2018
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J
(1)
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24092
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A
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$49.81
(2)
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24092
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I
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GGB4 2013 Trust
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Class B Common
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6/26/2018
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J
(3)
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195988
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A
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$48.30
(4)
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220080
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I
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GGB4 2013 Trust
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Class B Common
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720783
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D
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Class B Common
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916987
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I
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Brown Barker 2013 LLC
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Class B Common
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21239.9324
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I
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By 401k
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Class B Common
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45
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I
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Child #1
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Class B Common
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45
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I
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Child #2
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Class B Common
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264777
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I
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CPB 2010 #1 LLC
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Class B Common
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60543
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I
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CPB 2010 #2 LLC
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Class B Common
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88166
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I
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CPBee Charitable 2018 LLC
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Class B Common
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299326
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I
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CPBee Endowment 2018 LLC
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Class B Common
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88166
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I
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CPBee Sale 2018 LLC
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Class B Common
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12241.2376
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I
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ESPP
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Class B Common
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30285
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I
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Trust FBO Campbell P. Brown
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Class B Common
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35625
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I
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Trust FBO Geo Garvin Brown IV (Irrev)
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Table II - Derivative Securities 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
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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 Following Reported Transaction(s) (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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Code
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V
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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 June 25, 2018, a family member transferred shares to the 2013 Trust in exchange for other assets. The reporting person disclaims beneficial ownership of shares held by trusts and entities set forth on this form except to the extent of his pecuniary interest therein.
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(2)
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The closing price of Class B common stock as of June 22, 2018 was used to value the transaction.
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(3)
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On June 26, 2018, a family LLC transferred shares to the 2013 Trust in exchange for other assets.
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(4)
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The closing price of Class B common stock as of June 25, 2018 was used to value the transaction.
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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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Brown Campbell P
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 Campbell P. Brown
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6/27/2018
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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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