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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right | $ 10.62 (7) | 05/01/2012 | 04/30/2019 | Class B Common | 33,109 (7) | 33,109 | D | ||||||||
Stock Appreciation Right | $ 15.088 (8) | 05/01/2013 | 04/30/2020 | Class B Common | 27,788 (8) | 27,788 | D | ||||||||
Stock Appreciation Right | $ 18.217 (9) | 05/01/2014 | 04/30/2021 | Class B Common | 28,912 (9) | 28,912 | D | ||||||||
Stock Appreciation Right | $ 23.047 (10) | 05/01/2015 | 04/30/2022 | Class B Common | 21,806 (10) | 21,806 | D | ||||||||
Stock Appreciation Right | $ 28.433 (11) | 05/01/2016 | 04/30/2023 | Class B Common | 9,020 (11) | 9,020 | D | ||||||||
Stock Appreciation Right | $ 36.109 (12) | 05/01/2017 | 04/30/2024 | Class B Common | 7,201 (12) | 7,201 | D | ||||||||
Stock Appreciation Right | $ 40.145 (13) | 05/01/2018 | 04/30/2025 | Class B Common | 9,190 (13) | 9,190 | D | ||||||||
Stock Appreciation Right | $ 38.481 (14) | 05/01/2019 | 04/30/2026 | Class B Common | 12,674 (14) | 12,674 | D | ||||||||
Stock Appreciation Right | $ 39.757 | 05/01/2020 | 04/30/2027 | Class B Common | 10,692 (15) | 10,692 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hayes John V. 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
SVP, Chief Marketing Officer |
Michael E. Carr, Jr., Attorney in Fact for John V. Hayes | 05/02/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 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 422 shares of Class A common stock. |
(2) | The closing price of BF-A on April 30, 2018 was used to calculate the withholding obligation. |
(3) | 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 106 shares of Class B common stock. |
(4) | The closing price of BF-B on April 30, 2018 was used to calculate the withholding obligation. |
(5) | Number of shares acquired through the issuer's employee stock purchase program as of April 30, 2018. |
(6) | Number of shares acquired through the issuer's 401(k) plan as of April 30, 2018, including shares received in the February 2018 stock split. |
(7) | These stock appreciation rights were previously reported as covering 32,498 shares at an exercise price of $10.82, but were adjusted to reflect the April 2018 special dividend. |
(8) | These stock appreciation rights were previously reported as covering 27,275 shares at an exercise price of $15.372, but were adjusted to reflect the April 2018 special dividend. |
(9) | These stock appreciation rights were previously reported as covering 28,378 shares at an exercise price of $18.56, but were adjusted to reflect the April 2018 special dividend. |
(10) | These stock appreciation rights were previously reported as covering 21,403 shares at an exercise price of $23.48, but were adjusted to reflect the April 2018 special dividend. |
(11) | These stock appreciation rights were previously reported as covering 8,853 shares at an exercise price of $28.968, but were adjusted to reflect the April 2018 special dividend. |
(12) | These stock appreciation rights were previously reported as covering 7,068 shares at an exercise price of $36.788, but were adjusted to reflect the April 2018 special dividend. |
(13) | These stock appreciation rights were previously reported as covering 9,020 shares at an exercise price of $40.90, but were adjusted to reflect the April 2018 special dividend. |
(14) | These stock appreciation rights were previously reported as covering 12,440 shares at an exercise price of $39.204, but were adjusted to reflect the April 2018 special dividend. |
(15) | These stock appreciation rights were previously reported as covering 10,494 shares at an exercise price of $40.504, but were adjusted to reflect the April 2018 special dividend. |