FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
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. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 04/30/2011 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Class B Common | 326,366(1) | D | |||||||||||||
Class B Common | 20,484(2) | I | Spouse | ||||||||||||
Class B Common | 3,262(3) | I | Caitlin Joy UTMA | ||||||||||||
Class B Common | 5,930(4) | I | Charles Joy UTMA | ||||||||||||
Class B Common | 13,849(5) | I | Christopher Joy UTMA | ||||||||||||
Class B Common | 8,750(6) | I | Alexander Joy UTMA | ||||||||||||
Class B Common | 27,364(7) | I | Annsley Thornton Trust | ||||||||||||
Class B Common | 2,457 | I | Avish Agincourt LLC | ||||||||||||
Class B Common | 200(9) | I | Caitlin Joy IMA(8) | ||||||||||||
Class B Common | 200(9) | I | Charles Joy IMA(8) | ||||||||||||
Class B Common | 200(9) | I | Christopher Joy IMA(8) | ||||||||||||
Class B Common | 200(9) | I | Alexander Joy IMA(8) | ||||||||||||
Class B Common | 206.516(10) | I | C.F. Joy Irrev. Trust FBO Caitlin Joy | ||||||||||||
Class B Common | 206.516(10) | I | C.F. Joy Irrev. Trust FBO Charles Joy | ||||||||||||
Class B Common | 206.516(10) | I | C.F. Joy Irrev. Trust FBO Christopher Joy | ||||||||||||
Class B Common | 206.516(10) | I | C.F. Joy Irrev. Trust FBO Alexander Joy |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. In October 2008, Brown-Forman Corporation completed a stock distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. This total has been adjusted to reflect 90,650 Class B Shares received through the distribution. |
2. This total has been adjusted to reflect 7,188 Class B shares received through the Issuer's October 2008 stock distribution. |
3. This total has been adjusted to reflect 1,442 Class B shares received through the Issuer's October 2008 stock distribution. |
4. This total has been adjusted to reflect 2,592 Class B shares received through the Issuer's October 2008 stock distribution. |
5. This total has been adjusted to reflect 5,813 Class B shares received through the Issuer's October 2008 stock distribution. |
6. This total has been adjusted to reflect 3,834 Class B shares received through the Issuer's October 2008 stock distribution. |
7. This total has been adjusted to reflect 12,984 Class B shares received through the Issuer's October 2008 stock distribution. |
8. The shares in this account were transferred from a custodial account as of March 1, 2011. |
9. This total has been adjusted to reflect 36 Class B shares received through the Issuer's October 2008 stock distribution, and to correct a prior reporting error. |
10. This total has been adjusted to reflect 37 Class B shares received through the Issuer's October 2008 stock distribution, and to reflect shares acquired under the Brown-Forman Dividend Reinvestment Plan. |
Remarks: |
Diane Barhorst, Attorney in Fact for Catherine Joy | 06/14/2011 | |
** 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. |