Matthew E. Hamel - 29 Oct 2021 Form 4 Insider Report for BROWN FORMAN CORP (BFA)

Role
EVP and General Counsel
Signature
Jaileah X. Huddleston, Attorney in Fact for Matthew E. Hamel
Issuer symbol
BFA
Transactions as of
29 Oct 2021
Transactions value $
-$301,567
Form type
4
Filing time
02 Nov 2021, 16:25:47 UTC
Previous filing
13 Sep 2021
Next filing
01 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BFA Class B Common Options Exercise $326K +14.1K +62.57% $23.05 36.7K 29 Oct 2021 Direct
transaction BFA Class B Common Tax liability -$627K -9.11K -24.8% $68.88 27.6K 29 Oct 2021 Direct F1
holding BFA Class B Common 46.7K 29 Oct 2021 GRAT
holding BFA Class B Common 70.3K 29 Oct 2021 Spouse Trust
holding BFA Class B Common 18.3K 29 Oct 2021 By 401k F2
holding BFA Class B Common 3.81K 29 Oct 2021 ESPP F3
holding BFA Class B Common 8.73 29 Oct 2021 DRIP F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BFA Stock Appreciation Right Options Exercise $0 -14.1K -33.33% $0.00 28.3K 29 Oct 2021 Class B Common 14.1K $23.05 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The closing price of BF-B on October 28, 2021, was used to calculate the withholding obligation.
F2 Number of shares acquired through the issuer's 401(k) plan as of November 1, 2021.
F3 Number of shares acquired through the issuer's employee stock purchase program as of November 1, 2021.
F4 Number of shares acquired through the issuer's dividend reinvestment plan as of November 1, 2021.