Sec Form 4 Filing - Cunningham Leanne D @ BROWN FORMAN CORP - 2022-07-28

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 Cunningham Leanne D 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 _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) SVP, Chief Fin Officer (Last) (First) (Middle) 850 DIXIE HIGHWAY 3. Date of Earliest Transaction (MM/DD/YY) 07/28/2022 (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

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 Stock Appreciation Right $ 73.61 07/28/2022 A 16,125 05/01/2025 04/30/2032 Class B Common 16,125 $ 0 16,125 D Stock Appreciation Right $ 39.582( 1 ) 05/01/2018 04/30/2025 Class B Common 2,094 2,094( 1 ) D Stock Appreciation Right $ 37.942( 2 ) 05/01/2019 04/30/2026 Class B Common 7,309 7,309( 2 ) D Stock Appreciation Right $ 39.2( 3 ) 05/01/2020 04/30/2027 Class B Common 6,213 6,213( 3 ) D Stock Appreciation Right $ 53.244( 4 ) 05/01/2021 04/30/2028 Class B Common 3,856 3,856( 4 ) D Stock Appreciation Right $ 53.875( 5 ) 05/01/2022 04/30/2029 Class B Common 3,948 3,948( 5 ) D Stock Appreciation Right $ 68.241( 6 ) 05/01/2023 04/30/2030 Class B Common 3,008 3,008( 6 ) D Stock Appreciation Right $ 70.242( 7 ) 05/01/2024 04/30/2031 Class B Common 12,628 12,628( 7 ) D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Cunningham Leanne D 850 DIXIE HIGHWAY LOUISVILLE, KY40210 SVP, Chief Fin Officer Signatures Jaileah X. Huddleston, Attorney in Fact for Leanne D. Cunningham 08/01/2022 Signature of Reporting Person Date

Explanation of Responses:

( 1 )These stock appreciation rights were previously reported as covering 4,814 shares at an exercise price of $40.145, but were adjusted to reflect the December 2021 special dividend and to correct an inadvertent overstatement in the number of shares covered. ( 2 )These stock appreciation rights were previously reported as covering 7,206 shares at an exercise price of $38.481, but were adjusted to reflect the December 2021 special dividend. ( 3 )These stock appreciation rights were previously reported as covering 6,126 shares at an exercise price of $39.757, but were adjusted to reflect the December 2021 special dividend. ( 4 )These stock appreciation rights were previously reported as covering 3,802 shares at an exercise price of $54, but were adjusted to reflect the December 2021 special dividend. ( 5 )These stock appreciation rights were previously reported as covering 3,892 shares at an exercise price of $54.64, but were adjusted to reflect the December 2021 special dividend. ( 6 )These stock appreciation rights were previously reported as covering 2,965 shares at an exercise price of $69.21, but were adjusted to reflect the December 2021 special dividend. ( 7 )These stock appreciation rights were previously reported as covering 12,451 shares at an exercise price of $71.24, but were adjusted to reflect the December 2021 special dividend.

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).

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