FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
☐ 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. |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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| 1. Name and Address of Reporting Person * Brown Campbell P | 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) |
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3. Date of Earliest Transaction
(MM/DD/YYYY)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 | ||||||||||
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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 B Common | 4/30/2024 | M | 2,874 | A | $35.6 | 573,242 | D | |||
| Class B Common | 4/30/2024 | F | 2,379 | D | $48.69 (1) | 570,863 | D | |||
| Class B Common | 916,987 | I | Brown Barker 2013 LLC | |||||||
| Class B Common | 45 | I | Child #1 | |||||||
| Class B Common | 45 | I | Child #2 | |||||||
| Class B Common | 264,777 | I | CPB 2010 #1 LLC | |||||||
| Class B Common | 60,543 | I | CPB 2010 #2 LLC | |||||||
| Class B Common | 88,166 | I | CPBee Sale 2018 LLC | |||||||
| Class B Common | 299,326 | I | CPBee Endowment 2018 LLC | |||||||
| Class B Common | 88,166 | I | CPBee Charitable 2018 LLC | |||||||
| Class B Common | 220,090 | I | GGB4 2013 Trust | |||||||
| Class B Common | 30,285 | I | Trust FBO Campbell P. Brown | |||||||
| Class B Common | 35,625 | I | Trust FBO Geo Garvin Brown IV (Irrev) | |||||||
| Class B Common | 191,850 | I | SCB 2020 LLC | |||||||
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 | ||||||||
| Stock Appreciation Right | $35.603 | 4/30/2024 | M | 2,874 | 7/24/2014 | 4/30/2024 | Class B Common | 2,874 | $0 | 0 | D | ||||
| Explanation of Responses: | |
| (1) | The closing price of BF-B on April 29, 2024, was used to calculate the withholding obligation. |
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| Brown Campbell P 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 | X | ||||
| Signatures | ||
| Nancie Oliver Mauffray, Attorney in Fact for Campbell P. Brown | 5/2/2024 | |
| **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. | |
/s/Campbell P. Brown Signature | Campbell P. Brown Printed name | ||||