SEC Form 4
FORM 4 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
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).
1. Name and Address of Reporting Person*
Brown Campbell P

(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. Date of Earliest Transaction (Month/Day/Year)
01/15/2021
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 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 01/14/2021 G 191,850 D $0 533,907 D
Class B Common 01/14/2021 G 191,850 A $0 191,850 I SCB 2020 LLC
Class B Common 01/15/2021 J(1) 189,452 D $73.46 191,850 I SCB 2020 LLC
Class B Common 22,631.1962(2) I By 401k
Class B Common 12,805.9023(3) I ESPP
Class B Common 916,987 I Brown Barker 2013 LLC
Class B Common 264,777 I CPB 2010 #1 LLC
Class B Common 220,090 I GGB4 2013 Trust
Class B Common 88,166 I CPBee Sale 2018 LLC
Class B Common 45 I Child #1
Class B Common 45 I Child #2
Class B Common 299,326 I CPBee Endowment 2018 LLC
Class B Common 60,543 I CPB 2010 #2 LLC
Class B Common 30,285 I Trust FBO Campbell P. Brown
Class B Common 88,166 I CPBee Charitable 2018 LLC
Class B Common 35,625 I Trust FBO Geo Garvin Brown IV (Irrev)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. On January 15, 2021, the reporting person transferred LLC units to a family trust.
2. Number of shares acquired through the issuer's 401(k) plan as of January 15, 2021.
3. Number of shares acquired through the issuer's employee stock purchase program as of January 15, 2021.
Remarks:
The reporting person disclaims beneficial ownership of shares held by entities set forth in this report except to the extent of his pecuniary interest therein.
Jaileah X. Huddleston, Attorney in Fact for Campbell P. Brown 01/19/2021
** 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.
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