0001225208-14-010308.txt : 20140407 0001225208-14-010308.hdr.sgml : 20140407 20140407180553 ACCESSION NUMBER: 0001225208-14-010308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140404 FILED AS OF DATE: 20140407 DATE AS OF CHANGE: 20140407 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BOUSQUET CHAVANNE PATRICK CENTRAL INDEX KEY: 0001070210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 002-26821 FILM NUMBER: 14749613 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10153 4 1 doc4.xml X0306 4 2014-04-04 0000014693 BROWN FORMAN CORP BF'B 0001070210 BOUSQUET CHAVANNE PATRICK 850 DIXIE HIGHWAY LOUISVILLE KY 40210 1 Class B Common 2014-04-04 4 M 0 912.0000 27.7500 A 912.0000 D Class B Common 2014-04-04 4 S 0 440.0000 88.8895 D 472.0000 D Class B Common 2014-04-04 4 F 0 472.0000 89.3600 D 0.0000 D Non-Qualified Stock Option (right to buy) 27.7500 2014-04-04 4 M 0 912.0000 0.0000 D 2005-05-26 2014-04-30 Class B Common 912.0000 0.0000 D Deferred Stock Units Class A Common 2362.9500 2362.9500 D Deferred Stock Units Class B Common 4994.8400 4994.8400 D Stock Appreciation Right 38.4300 2010-07-22 2020-04-30 Class B Common 4785.0000 4785.0000 D Stock Appreciation Right 27.0500 2009-07-23 2019-04-30 Class B Common 12451.0000 12451.0000 D Stock Appreciation Right 35.5100 2008-07-24 2018-04-30 Class B Common 10134.0000 10134.0000 D Stock Appreciation Right 33.7600 2007-07-26 2017-04-30 Class B Common 10639.0000 10639.0000 D Stock Appreciation Right 34.9500 2006-07-27 2016-04-30 Class B Common 9036.0000 9036.0000 D Stock Appreciation Right 28.5800 2005-07-28 2015-04-30 Class B Common 10506.0000 10506.0000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.8883 to $88.89, 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 this footnote. The closing price of BF-B ($89.36) on April 3, 2014 was used to calculate the tax withholding obligation. These stock appreciation rights were previously reported as covering 572 shares at an exercise price of $44.22, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class B common stock. On each dividend payment date, participants are credited with DSU equivalents. Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class B common stock on the first February 1 that is at least six months following the Director's termination from Board service. These stock appreciation rights were previously reported as covering 3,002 shares at an exercise price of $61.24, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. These stock appreciation rights were previously reported as covering 7,812 shares at an exercise price of $43.10, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. These stock appreciation rights were previously reported as covering 6,358 shares at an exercise price of $56.58, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. These stock appreciation rights were previously reported as covering 6,675 shares at an exercise price of $53.80, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. These stock appreciation rights were previously reported as covering 5,669 shares at an exercise price of $55.69, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. These stock appreciation rights were previously reported as covering 6,592 shares at an exercise price of $45.53, but updated to correct adjustments for the issuer's August 2012 stock split and December 2012 special dividend. Kelly A. Bowen, Atty in Fact for Patrick Bousquet Chavanne 2014-04-07