Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROWN FORMAN CORPBFA, BFB · Entity 3449 | SVP, Chief Production Officer | July 22, 2021 | July 26, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BROWN FORMAN CORP
Report date July 22, 2021 · Filed July 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $71.24 · Expires 2031-04-30 | Direct | 8,516 |
Reported balance
After 2021-07-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-07-22 · Grant · Acquired 8,516 · Balance 8,516 F1: No money was paid to or received by the reporting person for these SSARs. |
Filing footnotes · ownership attribution and instrument terms
F1: No money was paid to or received by the reporting person for these SSARs.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 22, 2021 Filed Jul 26, 2021 21:25 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 8,516 | $0.00 Strike: $71.24 | $0.00 |
DisclosureSEC source: 0000014693-21-000141 · wf-form4_162733470483118.xml · derivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,516 Underlying: Class B Common · 8,516 shares Expires 2031-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 21:07 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 518 | $71.35 | $36,959.30 |
DisclosureSEC source: 0000014693-21-000063 · wf-form4_162275443308745.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,868 F2 · shares: To satisfy withholding obligations associated with the July 26, 2018 award of performance-based restricted stock units that were issued as shares on June 1, 2021, the reporting person surrendered 518 shares of Class A common stock. F3 · price: The closing price of BF-A on April 30, 2021 was used to calculate the withholding obligation. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 21:07 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 1,639 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-21-000063 · wf-form4_162275443308745.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,386 F1 · shares: These shares were issued on June 1, 2021, in connection with a July 26, 2018 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2021. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 22:26 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionStock Appreciation Right · Derivative | 10,589 | $0.00 Strike: $18.22 | $0.00 |
DisclosureSEC source: 0000014693-21-000035 · wf-form4_161593354403926.xml · derivative · entry 5 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common · 10,589 shares Expires 2021-04-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 22:26 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | SaleClass B Common | 5,379 | $72.23 | $388,542.38 |
DisclosureSEC source: 0000014693-21-000035 · wf-form4_161593354403926.xml · nonDerivative · entry 3 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,326 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.211 to $72.28, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 22:26 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 5,210 | $71.91 | $374,651.10 |
DisclosureSEC source: 0000014693-21-000035 · wf-form4_161593354403926.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,705 F1 · price: The closing price of BF-B on March 12, 2021 was used to calculate the withholding obligation. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 22:26 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionClass B Common | 10,589 | $18.22 | $192,899.81 |
DisclosureSEC source: 0000014693-21-000035 · wf-form4_161593354403926.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,915 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 20:43 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 8,460 | $0.00 Strike: $69.21 | $0.00 |
DisclosureSEC source: 0000014693-20-000095 · wf-form4_159648737011531.xml · derivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,460 Underlying: Class B Common · 8,460 shares Expires 2030-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:56 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 276 | $62.20 | $17,167.20 |
DisclosureSEC source: 0000014693-20-000040 · wf-form4_159121776177127.xml · nonDerivative · entry 4 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,326 F4 · shares: To satisfy withholding obligations associated with the July 27, 2017 award of performance-based restricted stock units that were issued as shares on June 1, 2020, the reporting person surrendered 276 shares of Class B common stock. F5 · price: The closing price of BF-B on April 30, 2020 was used to calculate the withholding obligation. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:56 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass B Common | 884 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-20-000040 · wf-form4_159121776177127.xml · nonDerivative · entry 3 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,602 F1 · shares: These shares were issued on June 1, 2020, in connection with a July 27, 2017 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2020. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:56 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 1,084 | $56.72 | $61,484.48 |
DisclosureSEC source: 0000014693-20-000040 · wf-form4_159121776177127.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,747 F2 · shares: To satisfy withholding obligations associated with the July 27, 2017 award of performance-based restricted stock units that were issued as shares on June 1, 2020, the reporting person surrendered 1,084 shares of Class A common stock. F3 · price: The closing price of BF-A on April 30, 2020 was used to calculate the withholding obligation. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:56 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 3,532 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-20-000040 · wf-form4_159121776177127.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,831 F1 · shares: These shares were issued on June 1, 2020, in connection with a July 27, 2017 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2020. Read SEC document |
| July 25, 2019 Filed Jul 29, 2019 21:38 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 11,106 | $0.00 Strike: $54.64 | $0.00 |
DisclosureSEC source: 0000014693-19-000124 · wf-form4_156443630217682.xml · derivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, Chief Production Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,106 Underlying: Class B Common · 11,106 shares Expires 2029-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 284 | $53.29 | $15,134.36 |
DisclosureSEC source: 0000014693-19-000073 · wf-form4_155977235102997.xml · nonDerivative · entry 4 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,718 F4 · shares: To satisfy withholding obligations associated with the July 28, 2016 award of performance-based restricted stock units that were issued as shares on June 3, 2019, the reporting person surrendered 284 shares of Class B common stock. F5 · price: The closing price of BF-B on April 30, 2019 was used to calculate the withholding obligation. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass B Common | 895 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-19-000073 · wf-form4_155977235102997.xml · nonDerivative · entry 3 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,002 F1 · shares: These shares were issued on June 3, 2019, in connection with a July 28, 2016 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2019. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 1,132 | $52.30 | $59,203.60 |
DisclosureSEC source: 0000014693-19-000073 · wf-form4_155977235102997.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,299 F2 · shares: To satisfy withholding obligations associated with the July 28, 2016 award of performance-based restricted stock units that were issued as shares on June 3, 2019, the reporting person surrendered 1,132 shares of Class A common stock. F3 · price: The closing price of BF-A on April 30, 2019 was used to calculate the withholding obligation. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 3,584 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-19-000073 · wf-form4_155977235102997.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,431 F1 · shares: These shares were issued on June 3, 2019, in connection with a July 28, 2016 award of performance-based restricted stock units. The award was subject to a three-year performance period, which ended April 30, 2019. Read SEC document |
| April 30, 2019 Filed May 2, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 167 | $53.29 | $8,899.43 |
DisclosureSEC source: 0000014693-19-000029 · wf-form4_155683478441698.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,107 F3 · shares: To satisfy withholding obligations associated with the July 23, 2015, award of Class B common stock that vested on April 30, 2019, the reporting person surrendered 167 shares of Class B common stock. F4 · price: The closing price of BF-B on April 30, 2019 was used to calculate the withholding obligation. Read SEC document |
| April 30, 2019 Filed May 2, 2019 22:06 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 658 | $52.30 | $34,413.40 |
DisclosureSEC source: 0000014693-19-000029 · wf-form4_155683478441698.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,847 F1 · shares: To satisfy withholding obligations associated with the July 23, 2015, award of Class A common stock that vested on April 30, 2019, the reporting person surrendered 658 shares of Class A common stock. F2 · price: The closing price of BF-A on April 30, 2019 was used to calculate the withholding obligation. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 22:36 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 10,850 | $0.00 Strike: $54.00 | $0.00 |
DisclosureSEC source: 0000014693-18-000130 · wf-form4_153299018520351.xml · derivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,850 Underlying: Class B Common · 10,850 shares Expires 2028-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| July 27, 2017 Filed Jul 31, 2017 22:09 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 14,138 | $0.00 Strike: $50.63 | $0.00 |
DisclosureSEC source: 0000014693-17-000130 · wf-form4_150153896304478.xml · derivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,138 Underlying: Class B Common · 14,138 shares Expires 2027-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 21:29 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 569 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-17-000102 · wf-form4_149669815068986.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 569 F1 · shares: These shares were issued on June 1, 2017, in connection with a July 24, 2014 award of Class A common performance-based restricted stock. The award, initially determined as a cash value, was subject to a three-year performance period, which ended April 30, 2017. The number of shares issued was determined by multiplying the cash value of the award by a three-year performance adjustment factor, dividing the amount by $45.125, which is the closing price of the issuer's Class A common stock on the date of the grant, and then adjusting upwards to account for dividends paid during the performance period. Read SEC document |
| April 30, 2017 Filed May 3, 2017 00:07 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionRestricted Stock Units · Derivative | 238 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-17-000075 · wf-form4_149377005533752.xml · derivative · entry 4 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common · 238 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. F1 · derivative.exercise_date: The Restricted Stock Units were granted on July 25, 2013, and vested on April 30, 2017. F1 · derivative.expiration_date: The Restricted Stock Units were granted on July 25, 2013, and vested on April 30, 2017. F6 · derivative.underlying_shares: Reflects the acquisition of 119 additional restricted stock units in the August 2016 stock split. Read SEC document |
| April 30, 2017 Filed May 3, 2017 00:07 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 83 | $47.32 | $3,927.56 |
DisclosureSEC source: 0000014693-17-000075 · wf-form4_149377005533752.xml · nonDerivative · entry 2 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 519 F3 · price: The closing price of BF-B on April 28, 2017 was used to calculate the withholding obligation. Read SEC document |
| April 30, 2017 Filed May 3, 2017 00:07 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionClass B Common | 238 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-17-000075 · wf-form4_149377005533752.xml · nonDerivative · entry 1 Alvarez Alejandro A · CIK 0001598777 · SVP, CPO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 602 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Restricted Stock Units were granted on July 25, 2013, and vested on April 30, 2017. F2 · balance_after: In August 2016, the Class A and Class B common stock of Brown-Forman Corporation split 2-1, resulting in the reporting person's acquisition of 182 additional shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.