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BF.A Brown Forman Corp

49.91
-0.14 (-0.28%)
14 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Brown Forman Corp NYSE:BF.A NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.14 -0.28% 49.91 50.22 49.77 50.06 33,965 01:00:00

Statement of Changes in Beneficial Ownership (4)

28/06/2023 11:36pm

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 Stuart R
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)

6/26/2023
(Street)

LOUISVILLE, KY 40210
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
(City)        (State)        (Zip)
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

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 A Common 6/26/2023  G  45480 D$0 0 (1)I GRAT-2 
Class A Common 6/26/2023  G  11370 A$0 23745 I 2020 Trust fbo Child-1 
Class A Common 6/26/2023  G  11370 A$0 23745 I 2020 Trust fbo Child-2 
Class A Common 6/26/2023  G  11370 A$0 23745 I 2020 Trust fbo Child-3 
Class A Common 6/26/2023  G  11370 A$0 23745 I 2020 Trust fbo Child-4 
Class A Common         500000 (2)I 2023 GRAT 
Class A Common         195159 (3)D  
Class A Common         126360 (4)I GRAT-3 
Class A Common         40878 I 2015 Trust 
Class A Common         10624 I Hebe Trust 
Class A Common         36104 I Hedge Street Partners LLC 
Class A Common         228302 I SKCJ Investments LLC 
Class A Common         47500 I 2021 Trust fbo Child-4 
Class A Common         47500 I 2021 Trust fbo Child-4 
Class A Common         47500 I 2021 Trust fbo Child-1 
Class A Common         47500 I 2021 Trust fbo Child-1 

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Updated to reflect the distribution of 102,170 Class A shares from GRAT-2 to direct holdings.
(2) Updated to reflect the contribution of 500,000 Class A shares from direct holdings to 2023 GRAT.
(3) Updated to reflect the distributions of 102,170 Class A shares from GRAT-2 to direct holdings and 69,540 Class A shares from GRAT-3 to direct holdings, and the contribution of 500,000 Class A shares from direct holdings to 2023 GRAT.
(4) Updated to reflect the distribution of 69,540 Class A shares from GRAT-3 to direct holdings.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Brown Stuart R
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
X



Signatures
Jaileah X. Huddleston, Attorney in Fact for Stuart R. Brown6/28/2023
**Signature of Reporting PersonDate


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note:File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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