Sec Form 4 Filing - Brown George Garvin IV @ BROWN FORMAN CORP - 2017-03-23

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Brown George Garvin IV
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/YY)
03/23/2017
(Street)
LOUISVILLE, KY40210
4. If Amendment, Date Original Filed (MM/DD/YY)
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)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 09/13/2016 G V 1,200 A $ 0 7,390 ( 1 ) I Crummey Trust
Class A Common 02/13/2017 G V 3,645 D $ 0 112,029 ( 2 ) D
Class A Common 02/13/2017 G V 3,070 A $ 0 18,012 ( 3 ) I Spouse's trust
Class A Common 02/13/2017 G V 1,150 A $ 0 15,842 ( 4 ) I Crummey Trust
Class A Common 03/23/2017 J( 5 ) 3,000,000 D 2,160,472 ( 6 ) I GGB4 2012 LP
Class A Common 20,380 ( 7 ) I 2010 GRAT
Class A Common 208,914 ( 8 ) I 2012 GRAT
Class A Common 23,240 ( 9 ) I GGB IV CLAT
Class A Common 1,059,108 ( 10 ) I GGB4 2010 #1 LP
Class A Common 992 ( 11 ) I GGB4 2010#2 LLC
Class A Common 95,250 ( 12 ) I Sullivan Street Partners
Class B Common 554,445 ( 13 ) D
Class B Common 34,836 ( 14 ) I 2010 GRAT
Class B Common 25,959.665 ( 15 ) I By 401k
Class B Common 0 ( 16 ) I CBGB LLC
Class B Common 156,600 ( 17 ) I GGB4 2010#2 LLC
Class B Common 510,337 ( 18 ) I GGB4 2012 LP
Class B Common 5,946 ( 19 ) I Spouse's trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Brown George Garvin IV
850 DIXIE HIGHWAY
LOUISVILLE, KY40210
X
Signatures
Michael E. Carr, Jr., Attorney in Fact for George Garvin Brown IV 03/27/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reflects the acquisition of 3,095 additional shares in the August 2016 stock split.
( 2 )Reflects the acquisition of 57,837 additional shares in the August 2016 stock split.
( 3 )Reflects the acquisition of 7,471 additional shares in the Aug ust 2016 stock split.
( 4 )Reflects the acquisition of 7,346 additional shares in the August 2016 stock split.
( 5 )Reflects contribution of shares to a limited liability company.
( 6 )Reflects the acquisition of 2,580,236 additional shares in the August 2016 stock split.
( 7 )Reflects the acquisition of 10,190 additional shares in the August 2016 stock split.
( 8 )Reflects the acquisition of 104,457 additional shares in the August 2016 stock split.
( 9 )Reflects the acquisition of 11,620 additional shares in the August 2016 stock split.
( 10 )Reflects the acquisition of 529,554 additional shares in the August 2016 stock split.
( 11 )Reflects the acquisition of 496 additional shares in the August 2016 stock split.
( 12 )Reflects the acquisition of 47,625 additional shares in the August 2016 stock split.
( 13 )Reflects the acquisition of 275,850 additional shares in the August 2016 stock split. In addition, on September 14, 2016, CBGB LLC made a pro rata distribution of 2,746 Class B shares to the reporting person.
( 14 )Reflects the acquisition of 17,418 additional shares in the August 2016 stock split.
( 15 )Total updated to reflect shares acquired in the August 2016 stock split.
( 16 )Reflects the acquisition of 2,746 additional shares in the August 2016 stock split. Total also updated to reflect the distribution of all shares on September 14, 2016.
( 17 )Reflects the acquisition of 78,300 additional shares in the August 2016 stock split.
( 18 )Reflects the acquisition of 255,168 additional shares in the August 2016 stock split.
( 19 )Reflects the acquisition of 2,973 additional shares in the August 2016 stock split.

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