0000014693-12-000144.txt : 20121009 0000014693-12-000144.hdr.sgml : 20121008 20121009161141 ACCESSION NUMBER: 0000014693-12-000144 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121004 FILED AS OF DATE: 20121009 DATE AS OF CHANGE: 20121009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown Christina Lee CENTRAL INDEX KEY: 0001542909 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 002-26821 FILM NUMBER: 121135283 MAIL ADDRESS: STREET 1: 850 DIXIE HIGHWAY CITY: LOUISVILLE STATE: KY ZIP: 40210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROWN FORMAN CORP CENTRAL INDEX KEY: 0000014693 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 610143150 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 BUSINESS PHONE: 5025851100 MAIL ADDRESS: STREET 1: P O BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN INC DATE OF NAME CHANGE: 19870816 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2012-10-04 0000014693 BROWN FORMAN CORP BFA, BFB 0001542909 Brown Christina Lee 850 DIXIE HWY LOUISVILLE KY 40210 0 0 1 0 Class A Common 257700 D Class A Common 504775 I Owsley Brown II 1994 GRAT Class A Common 816126 I Owsley Brown II 2001 GRAT Class A Common 297048 I Owsley Brown II 2002 GRAT Class A Common 67714 I Trust u/a Owsley Brown III Class A Common 3330114 I Olympus Three, LLC Class B Common 2012-10-04 4 M 0 154440 20.12 A 218629 D Class B Common 2012-10-04 4 F 0 92170 67.17 D 126459 D Class B Common 2012-10-04 4 S 0 24361 66.56 D 102098 D Class B Common 2012-10-05 4 S 0 37909 66.57 D 64189 D Class B Common 1980 I Owsley Brown II IRA Class B Common 126193 I Owsley Brown II 1994 GRAT Class B Common 210723 I Owsley Brown II 2001 GRAT Class B Common 78964 I Owsley Brown II 2002 GRAT Class B Common 6703641 I Olympus Three, LLC Class B Common 20.12 2012-10-04 4 M 0 154440 0 D 2006-05-01 2013-04-30 Non-Qualified Stock Option (right to buy) 154440 0 D Class B Common 23.89 2007-05-01 2014-04-30 Non-Qualified Stock Option (right to buy) 123579 123579 D Class B Common 35.75 2007-11-15 2015-07-24 Stock Appreciation Right 4998 4998 D 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 85,900 additional shares of Class A common stock. Includes 168,258 additional Class A shares of common stock issued in the August stock split. Includes 272,042 additional Class A shares of common stock issued in the August stock split. Includes 99,016 additional Class A shares of common stock issued in the August stock split. Includes 22,571 additional Class A shares of common stock issued in the August stock split. Includes 1,110,037 additional Class A shares of common stock issued in the August stock split. Includes 21,396 additional Class B shares of common stock issued in the August stock split. Includes 660 additional Class B shares of common stock issued in the August stock split. Includes 42,064 additional Class B shares of common stock issued in the August stock split. Includes 70,241 additional Class B shares of common stock issued in the August stock split. Includes 26,321 additional Class B shares of common stock issued in the August stock split. Includes 2,234,547 additional Class B shares of common stock issued in the August stock split. These stock options were previously reported as covering 102,960 Class B shares at an exercise price of $30.18, but were adjusted to reflect the August 2012 stock split. These stock options were previously reported as covering 82,386 Class B shares at an exercise price of $35.83, but were adjusted to reflect the August 2012 stock split. These stock appreciation rights were previously reported as covering 3,332 Class B shares at an exercise price of $53.62, but were adjusted to reflect the August 2012 stock split. The closing price of BF-B ($67.17) on October 3, 2012 was used to calculate the tax withholding obligations. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.50 to $66.86, 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 footnote (2) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.50 to $66.79, 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 footnote (2) to this Form 4. Diane M. Barhorst, Atty in Fact for Christina Lee Brown 2012-10-09 EX-24 2 attach_1.htm

         POWER OF ATTORNEY



         The undersigned does hereby constitute and appoint each of Matt Hamel, Nelea A. Absher, Holli

         H. Lewis, Diane M. Barhorst and Laura H. Pulliam, signing singly, the undersigned's true and lawful

         attorney-in-fact to:



         1. prepare, execute and file, for and on behalf of the undersigned, Forms 3, 4 and 5 (including

         amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934 (the

         "Act") and the rules thereunder;



         2. do and perform any and all acts for and on behalf of the undersigned that may be necessary or

         desirable to prepare and execute any such Form 3, 4 or 5 (including amendments thereto) and timely

         file that Form with the United States Securities and Exchange Commission and any stock exchange or

         similar authority, and provide a copy as required by law or advisable to such persons as the attorney-

         in-fact deems appropriate; and



         3. take any other action of any type whatsoever in connection with the foregoing that, in the opinion of

         the attorney-in-fact, may be of benefit to, in the best interest of, or legally required of the

         undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the

         undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and

         conditions as the attorney-in-fact may approve in the attorney-in-fact's discretion.



         The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform

         any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of

         the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or

         could do if personally present, with full power of substitution or revocation, hereby ratifying and

         confirming all that the attorney-in-fact, or the attorney-in-fact's substitute or substitutes, shall lawfully do

         or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.



         The undersigned acknowledges that the foregoing attorneys-in-fact, and their substitutes, in serving in

         such capacity at the request of the undersigned, are not assuming, nor is Brown-Forman Corporation (the

         "Corporation") assuming, (i) any of the undersigned's responsibilities to comply with Section 16 of the

         Act or (ii) any liability of the undersigned for failure to comply with Section 16 of the Act.  This Power of

         Attorney does not relieve the undersigned from the undersigned's obligations to comply with the

         requirements of the Act, including without limitation the reporting requirements under Section 16

         thereunder.  The undersigned agrees that each such attorney-in-fact may rely entirely on information

         furnished orally or in writing by or at the direction of the undersigned to the attorney-in-fact.



         This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to

         file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by

         the Corporation, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing

         attorneys in fact.  This Power of Attorney does not revoke any other power of attorney that the

         undersigned has previously granted.



         IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this

         10 day of February, 2012.







         __________________________________

         Christina Lee Brown, individually and as administrator of Estate of Owsley Brown II