Form Type: 4

SEC EDGAR Link
Accession Number:0000014693-20-000145
Date:2020-09-15
Issuer: BROWN FORMAN CORP (BFA, BFB)
Original Submission Date:

Reporting Person:

BROWN KELLI
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS B COMMON 2020-09-15 M 1,024 a $36.11 2,173 direct
CLASS B COMMON 2020-09-15 M 1,500 a $40.15 3,673 direct
CLASS B COMMON 2020-09-15 F 1,625 d $79.49 2,048 direct
CLASS B COMMON 2020-09-15 S 899 d $78.97 1,149 direct
CLASS B COMMON 2020-09-15 0 $0.00 770 indirect
CLASS B COMMON 2020-09-15 0 $0.00 8 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK APPRECIATION RIGHT 36.109 2020-09-15 deemed execution date M 1,024 (d) 2017-05-01 2024-04-30 class b common 1,024 $36.11 0 direct
STOCK APPRECIATION RIGHT 40.145 2020-09-15 deemed execution date M 1,500 (d) 2018-05-01 2025-04-30 class b common 1,500 $40.15 655 direct
Footnotes
IDfootnote
f1 the closing price of bf-b on september 14, 2020 was used to calculate the withholding obligation.
f2 number of shares acquired through the issuer's employee stock purchase program as of september 15, 2020.
f3 number of shares acquired through the issuer's dividend reinvestment plan as of september 15, 2020.
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