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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA, BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/11/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 A Common | 12/24/2012 | G | V | 61,983 | D | $0 | 557,374(1) | D | ||
Class A Common | 2,500(2) | I | Spouse | |||||||
Class A Common | 18,867(3) | I | GRAT | |||||||
Class A Common | 18(4) | I | Eleanor Lee Trusts | |||||||
Class A Common | 316,837(5) | I | Hebe Three Limited Partnership | |||||||
Class A Common | 12/26/2012 | G | V | 14,416 | A | $0 | 16,159(6) | I | Trust fbo Owsley Brown III | |
Class A Common | 49,257(7) | I | Longview Charitable LP | |||||||
Class A Common | 3,297(8) | I | Trust fbo child | |||||||
Class A Common | 2,256(9) | I | Trust fbo child | |||||||
Class A Common | 2,256(10) | I | Trust fbo child | |||||||
Class A Common | 12/24/2012 | G | V | 61,983 | A | $0 | 69,532(11) | I | Trust fbo Children | |
Class A Common | 1,470(12) | I | Trust fbo Barzun children | |||||||
Class A Common | 20,439(13) | I | Trust fbo Augusta Holland | |||||||
Class A Common | 225,000(14) | I | Cherokee Horatio Ltd. | |||||||
Class A Common | 44,301(15) | I | Birdnest 2006 Ltd. | |||||||
Class A Common | 3,330,115(17) | I | Olympus Three, LLC | |||||||
Class B Common | 07/11/2012 | W | V | 12 | A | $0 | 116,385(16) | D | ||
Class B Common | 12/24/2012 | G | V | 84,870 | D | $0 | 31,515 | D | ||
Class B Common | 574(18) | I | Spouse | |||||||
Class B Common | 1,980(19) | I | Owsley Brown II IRA | |||||||
Class B Common | 39,447(20) | I | CLB Grandchildren Eq. Tr. | |||||||
Class B Common | 12,895(21) | I | Eleanor Lee Trusts | |||||||
Class B Common | 546(22) | I | Hebe Exempt Trust | |||||||
Class B Common | 215,284(23) | I | Hebe Three Limited Partnership | |||||||
Class B Common | 08/20/2012 | W | V | 192,223 | D | $0 | 0(24) | I | Hebe Non-Exempt Trust | |
Class B Common | 08/20/2012 | W | V | 64,075 | A | $0 | 64,075 | I | Hebe Trust fbo Augusta Holland | |
Class B Common | 12/19/2012 | G | V | 43,470 | D | $0 | 20,605 | I | Hebe Trust fbo Augusta Holland | |
Class B Common | 19,200(25) | I | Longview Charitable LP | |||||||
Class B Common | 12/26/2012 | G | V | 89,136 | A | $0 | 95,299(26) | I | Trust fbo Owsley Brown III | |
Class B Common | 910(27) | I | Trust fbo child |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 August 10, 2012, the Class A and Class B common stock of Brown-Forman Corporation split 3-2, resulting in the reporting person's acquisition of 206,452 additional shares of common stock. |
2. Includes additional 833 Class A shares issued in the August 2012 stock split. |
3. Includes additional 6289 Class A shares issued in the August 2012 stock split. |
4. Includes additional 6 Class A shares issued in the August 2012 stock split. |
5. Includes additional 105,612 Class A shares issued in the August 2012 stock split. |
6. Includes additional 581 Class A shares issued in the August 2012 stock split. |
7. Includes additional 16,419 Class A shares issued in the August 2012 stock split. |
8. Includes additional 1,099 Class A shares issued in the August 2012 stock split. |
9. Includes additional 752 Class A shares issued in the August 2012 stock split. |
10. Includes additional 752 Class A shares issued in the August 2012 stock split. |
11. Includes additional 2,516 Class A shares issued in the August 2012 stock split. |
12. Includes additional 490 Class A shares issued in the August 2012 stock split. |
13. Includes additional 6,813 Class A shares issued in the August 2012 stock split. |
14. Includes additional 75,000 Class A shares issued in the August 2012 stock split. |
15. Includes additional 14,767 Class A shares issued in the August 2012 stock split. |
16. Includes additional 38,795 Class B shares issued in the August 2012 stock split. |
17. Includes additional 1,110,038 Class A shares issued in the August 2012 stock split. |
18. Includes additional 191 Class B shares issued in the August 2012 stock split. |
19. Includes additional 660 Class B shares issued in the August 2012 stock split. |
20. Includes additional 13,149 Class B shares issued in the August 2012 stock split. |
21. Includes additional 4,298 Class B shares issued in the August 2012 stock split. |
22. Includes additional 182 Class B shares issued in the August 2012 stock split. |
23. Includes additional 71,761 Class B shares issued in the August 2012 stock split. |
24. Includes additional 64,074 Class B shares issued in the August 2012 stock split. |
25. Includes additional 6,400 Class B shares issued in the August 2012 stock split. |
26. Includes additional 2,054 Class B shares issued in the August 2012 stock split. |
27. Includes additional 303 Class B shares issued in the August 2012 stock split. |
Remarks: |
Diane M. Barhorst, Atty in Fact for Augusta Brown Holland | 01/14/2013 | |
** 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. | ||
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 Number. |