SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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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).
  
Form 3 Holdings Reported.
  
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
Holland Augusta Brown

(Last) (First) (Middle)
850 DIXIE HIGHWAY

(Street)
LOUISVILLE KY 40210

(City) (State) (Zip)
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)
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
04/30/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Class A Common 10/20/2017 G 1,577 D $0 1,016,124 D
Class A Common 12/28/2017 G 211 A $0 1,016,335 D
Class A Common 12/28/2017 G 211 A $0 5,244 I By Spouse
Class A Common 12/28/2017 G 211 A $0 8,060 I Trust fbo Child-1
Class A Common 12/28/2017 G 211 A $0 5,978 I Trust fbo Child-2
Class A Common 12/28/2017 G 211 A $0 5,978 I Trust fbo Child-3
Class A Common 482,284 I ABH GRAT 2007
Class A Common 84,308 I ABH GRAT 2011
Class A Common 41,374 I CLB Trust fbo Child-1
Class A Common 43,456 I CLB Trust fbo Child-2
Class A Common 43,456 I CLB Trust fbo Child-3
Class A Common 40,878 I Trust fbo Augusta Holland
Class B Common 418,059(1) D
Class B Common 245,916(2) I ABH GRAT 2007
Class B Common 76,402(3) I ABH GRAT 2011
Class B Common 7,201(4) I By Spouse
Class B Common 38,678(5) I CLB Trust fbo Child-1
Class B Common 41,474(6) I CLB Trust fbo Child-2
Class B Common 41,474(6) I CLB Trust fbo Child-3
Class B Common 1,365(7) I Hebe Exempt Trust fbo ABH(8)
Class B Common 2,412(9) I Holland Family Trust
Class B Common 4,290(10) I Trust fbo Child-1
Class B Common 1,494(11) I Trust fbo Child-2
Class B Common 1,494(11) I Trust fbo Child-3
Class B Common 22,991(12) I Trust fbo Augusta Holland
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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. On February 28, 2018, the issuer completed a stock split resulting in the distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. On April 23, 2018, the issuer paid a special cash dividend. Total has been updated to reflect the acquisition of 292,941 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers from the ABH 2007 GRAT of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017, and a transfer to the ABH 2011 GRAT of 30,317 shares on May 14, 2018.
2. Total has been updated to reflect the acquisition of 145,640 additional shares in the February 2018 stock split. Total has also been updated to reflect transfers to the reporting person's direct holdings of 3,777 shares on June 16, 2017, and 3,423 shares on October 10, 2017.
3. Total has been updated to reflect the acquisition of 26,078 additional shares in the February 2018 stock split. Total has also been updated to reflect a transfer from the reporting person's direct holdings of 30,317 shares on May 14, 2018.
4. Total has been updated to reflect the acquisition of 2,489 additional shares in the February 2018 stock split.
5. Total has been updated to reflect the acquisition of 16,010 additional shares in the February 2018 stock split.
6. Total has been updated to reflect the acquisition of 16,986 additional shares in the February 2018 stock split.
7. Total has been updated to reflect the acquisition of 273 additional shares in the February 2018 stock split.
8. Previously reported as the Hebe Exempt Trust.
9. Total has been updated to reflect the acquisition of 482 additional shares in the February 2018 stock split.
10. Total has been updated to reflect the acquisition of 2,470 additional shares in the February 2018 stock split.
11. These shares were acquired in the February 2018 stock split.
12. Total has been updated to reflect the acquisition of 12,773 additional shares in the February 2018 stock split.
Remarks:
Michael E. Carr, Jr., Attorney in Fact for Augusta Brown Holland 06/14/2018
** 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).
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