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 |
|
|||||||||||||||
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)
|
2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA, BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 12/10/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 A Common | 127,500 | D | ||||||||
Class A Common | 336,517 | I | GRAT 1994 | |||||||
Class A Common | 544,084 | I | GRAT 2001 | |||||||
Class A Common | 198,032 | I | GRAT 2002 | |||||||
Class A Common | 99,964 | I | Longview LP | |||||||
Class A Common | 1,612 | I | Guilford-Brown LP | |||||||
Class A Common | 3,789 | I | Nectar LP | |||||||
Class A Common | 438,009 | I | Ganymede LP | |||||||
Class A Common | 2,113,839 | I | Olympus Three, LLC | |||||||
Class A Common | 173,579 | I | Spouse | |||||||
Class B Common | 68,436 | D | ||||||||
Class B Common | 84,129 | I | GRAT 1994 | |||||||
Class B Common | 140,482 | I | GRAT 2001 | |||||||
Class B Common | 52,643 | I | GRAT 2002 | |||||||
Class B Common | 43,499 | I | Longview, LP | |||||||
Class B Common | 947 | I | Nectar | |||||||
Class B Common | 12/10/2010 | J(1) | 44,776.5 | A | (1) | 478,012.75 | I | Hebe, LP | ||
Class B Common | 3,171 | I | Hebe Non-Exempt Trust fbo Owsley Brown II | |||||||
Class B Common | 1,092 | I | Hebe Exempt Trust fbo Owsley Brown II | |||||||
Class B Common | 12/10/2010 | J(1) | 44,776.5 | D | (1) | 1,231,413.5 | I | GANYMO Trust/Partnership | ||
Class B Common | 4,070,186 | I | Olympus Three, LLC | |||||||
Class B Common | 26,298 | I | Grandchildren's Equalization Trust 1998 | |||||||
Class B Common | 43,270 | I | Spouse |
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 | ||||||||
Non-Qualified Stock Option (right to buy)(2) | $24.7(3) | 05/01/2005 | 04/30/2012 | Class B Common | 103,041(3) | 103,041(3) | D | ||||||||
Non-Qualified Stock Option (right to buy)(2) | $30.18(4) | 05/01/2006 | 04/30/2013 | Class B Common | 102,960(4) | 102,960(4) | D | ||||||||
Non-Qualified Stock Option (right to buy)(1)(2) | $35.83(5) | 05/01/2007 | 04/30/2014 | Class B Common | 82,386(5) | 82,386(5) | D | ||||||||
Stock Appreciation Right(2) | $53.62(6) | 11/15/2007 | 04/30/2017 | Class B Common | 3,332(6) | 3,332(6) | D |
Explanation of Responses: |
1. Represents partial redemption of Ganymede limited partnership units held by Hebe Limited Partnership. |
2. All outstanding derivative security amounts and exercise prices were adjusted on December 10, 2010, the record date for the Issuer's December 28, 2010 special cash dividend. |
3. These options were previously reported as covering 101,568 shares at an exercise price of $25.06 per share, but were adjusted to reflect the December 28, 2010 special cash dividend. |
4. These options were previously reported as covering 101,488 shares at an exercise price of $30.62 per share, but were adjusted to reflect the December 28, 2010 special cash dividend. |
5. These options were previously reported as covering 81,208 shares at an exercise price of $36.35 per share, but were adjusted to reflect the December 28, 2010 special cash dividend. |
6. These stock appreciation rights were previously reported as covering 3,284 shares at an exercise price of $54.40 per share, but were adjusted to reflect the December 28, 2010 special cash dividend. |
Remarks: |
Filing of this form should not be construed as an admission that the filing person is, for purposes of Section 16 of the Securities Exchange Act of 1934, the "beneficial owner" of any equity securities held in a limited partnership or in trust and reported on this form. |
Diane M. Barhorst, Atty In Fact for: Owsley Brown II | 12/14/2010 | |
** 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. |