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 J McCauley
2. Issuer Name and Ticker or Trading Symbol

BROWN FORMAN CORP [ BFA, BFB ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

850 DIXIE HIGHWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

12/9/2016
(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 A Common   12/12/2016     G    5500   D $0   3704   D    
Class A Common   12/9/2016     P    1865   A $48   33855   I   Williams Trust  
Class B Common                  123284   D    
Class B Common                  102751   I   By Brown Ventures, LLC  
Class A Common                  1961790   I   By Brown Ventures, LLC  
Class A Common                  22920   I   By IRA  
Class B Common                  27690   I   by IRA  
Class A Common                  363880   I   By JMB Irrev Trust  
Class A Common                  353796   I   By MAE LLC  
Class A Common                  434   I   By Spouse  
Class B Common                  22628   I   By Spouse  
Class A Common                  101408   I   By Spouse Irrev Trust  
Class A Common                  7850   I   By Spray Trust  
Class A Common                  2000   I   Crummey Trust  
Class A Common                  193396   I   Spouse GRAT  
Class B Common                  2040   I   Williams Trust  

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
Restricted Stock Units     (1)                  4/30/2017   (2)   (2) Class B Common   424.0     424   D    
Restricted Stock Units     (1)                  4/30/2018   (3)   (3) Class B Common   342.0     342   D    
Restricted Stock Units     (1)                  4/30/2019   (4)   (4) Class B Common   316.0     316   D    

Explanation of Responses:
( 1)  Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
( 2)  The restricted stock units were granted on July 25, 2013, and vest April 30, 2017.
( 3)  The restricted stock units were granted on July 24, 2014, and vest April 30, 2018.
( 4)  The restricted stock units were granted on July 23, 2015, and vest April 30, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Brown J McCauley
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210

X


Signatures
Michael E. Carr, Jr., Attorney in Fact for J. McCauley Brown 12/13/2016
** Signature of Reporting Person Date


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.
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Jun 2024 to Jul 2024 Click Here for more Brown Forman Charts.
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Jul 2023 to Jul 2024 Click Here for more Brown Forman Charts.