Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROWN FORMAN CORPBFA, BFB · Entity 3449 | SVP, Chief of Staff | July 26, 2018 | July 30, 2018 |
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 26, 2018 · Filed July 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $54.00 · Expires 2028-04-30 | Direct | 9,720 |
Reported balance
After 2018-07-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-07-26 · Grant · Acquired 9,720 · Balance 9,720 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 26, 2018 Filed Jul 30, 2018 22:31 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 9,720 | $0.00 Strike: $54.00 | $0.00 |
DisclosureSEC source: 0000014693-18-000126 · wf-form4_153298985425541.xml · derivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,720 Underlying: Class B Common · 9,720 shares Expires 2028-04-30 F1 · security: No money was paid to or received by the reporting person for these SSARs. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 23:12 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass B Common | 758 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-18-000069 · wf-form4_152824033554939.xml · nonDerivative · entry 2 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,033 F1 · shares: These shares were issued on June 1, 2018, in connection with a July 23, 2015 award of performance-based restricted stock. The award, initially determined as a cash value, was subject to a three-year performance period, which ended April 30, 2018. The number of Class A and Class B shares issued was determined by multiplying the cash value of the award by a three-year performance adjustment factor, dividing the amount by $111.30, which was the closing price of the issuer's Class A common stock on the date of the grant, and then adjusting for subsequent stock splits and dividends during the performance period. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 23:12 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 3,034 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-18-000069 · wf-form4_152824033554939.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,726 F1 · shares: These shares were issued on June 1, 2018, in connection with a July 23, 2015 award of performance-based restricted stock. The award, initially determined as a cash value, was subject to a three-year performance period, which ended April 30, 2018. The number of Class A and Class B shares issued was determined by multiplying the cash value of the award by a three-year performance adjustment factor, dividing the amount by $111.30, which was the closing price of the issuer's Class A common stock on the date of the grant, and then adjusting for subsequent stock splits and dividends during the performance period. Read SEC document |
| April 30, 2018 Filed May 3, 2018 00:10 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 97 | $56.04 | $5,435.88 |
DisclosureSEC source: 0000014693-18-000043 · wf-form4_152530618830842.xml · nonDerivative · entry 2 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,275 F3 · shares: To satisfy withholding obligations associated with the shares of Class B performance-based restricted stock that were issued in the February 2018 stock split and vested on April 30, 2018, the reporting person surrendered 97 shares of Class B common stock. F4 · price: The closing price of BF-B on April 30, 2018 was used to calculate the withholding obligation. F5 · balance_after: 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 2,890 additional shares in the February 2018 stock split, including 306 shares of Class B common performance-based restricted stock issued in connection with the July 24, 2014 award of Class A common stock. Read SEC document |
| April 30, 2018 Filed May 3, 2018 00:10 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 389 | $53.37 | $20,760.93 |
DisclosureSEC source: 0000014693-18-000043 · wf-form4_152530618830842.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,692 F1 · shares: To satisfy withholding obligations associated with the July 24, 2014 award of Class A common stock that vested on April 30, 2018, the reporting person surrendered 389 shares of Class A common stock. F2 · price: The closing price of BF-A on April 30, 2018 was used to calculate the withholding obligation. Read SEC document |
| July 27, 2017 Filed Jul 31, 2017 22:43 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantStock Appreciation Right · Derivative | 12,665 | $0.00 Strike: $50.63 | $0.00 |
DisclosureSEC source: 0000014693-17-000148 · wf-form4_150154100458326.xml · derivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,665 Underlying: Class B Common · 12,665 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 21:47 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantClass A Common | 1,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-17-000108 · wf-form4_149669922810018.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,081 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. F2 · balance_after: Updated to reflect that the reporting person transferred 1,555 Class A shares from her direct holdings to her dividend reinvestment plan account on May 1, 2017. Read SEC document |
| April 30, 2017 Filed May 2, 2017 23:55 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass A Common | 859 | $48.06 | $41,283.54 |
DisclosureSEC source: 0000014693-17-000065 · wf-form4_149376933303749.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,411 F1 · shares: To satisfy withholding obligations associated with the July 25, 2013 award of Class A common stock that vested on April 30, 2017, the reporting person surrendered 859 shares of Class A common stock. F2 · price: The closing price of BF-A ($48.06) on April 28, 2017 was used to calculate the withholding obligation. Read SEC document |
| March 24, 2017 Filed Mar 28, 2017 20:37 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | SaleClass A Common | 4,630 | $47.42 | $219,549.04 |
DisclosureSEC source: 0000014693-17-000045 · wf-form4_149073346022193.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,270 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.22 to $47.76, 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 |
| January 13, 2017 Filed Jan 18, 2017 21:52 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionStock Appreciation Right · Derivative | 13,478 | $0.00 Strike: $36.21 | $0.00 |
DisclosureSEC source: 0000014693-17-000006 · wf-form4_148477632767668.xml · derivative · entry 8 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common · 13,478 shares Expires 2023-04-30 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 |
| January 13, 2017 Filed Jan 18, 2017 21:52 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | SaleClass B Common | 8,502 | $43.92 | $373,405.29 |
DisclosureSEC source: 0000014693-17-000006 · wf-form4_148477632767668.xml · nonDerivative · entry 4 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 482 Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 21:52 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | SaleClass B Common | 1,436 | $43.88 | $63,004.50 |
DisclosureSEC source: 0000014693-17-000006 · wf-form4_148477632767668.xml · nonDerivative · entry 3 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,984 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.871 to $43.88, 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 |
| January 13, 2017 Filed Jan 18, 2017 21:52 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Tax withholdingClass B Common | 12,042 | $44.17 | $531,895.14 |
DisclosureSEC source: 0000014693-17-000006 · wf-form4_148477632767668.xml · nonDerivative · entry 2 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,462 F2 · price: The closing price of BF-B on January 12, 2017 was used to calculate the withholding obligation. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 21:52 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | Exercise / conversionClass B Common | 13,478 | $44.17 | $595,323.26 |
DisclosureSEC source: 0000014693-17-000006 · wf-form4_148477632767668.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,462 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 · balance_after: Total updated to correct prior reporting error. Read SEC document |
| October 14, 2016 Filed Oct 18, 2016 20:40 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | SaleClass B Common | 10,510 | $45.30 | $476,103.00 |
DisclosureSEC source: 0000014693-16-000243 · wf-form4_147682316167663.xml · nonDerivative · entry 1 Steiner Lisa P · CIK 0001579721 · SVP, Chief of Staff 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · balance_after: Reflects the acquisition of additional shares in the August 2016 stock split. Total also updated to correct prior reporting error. 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.