SEC Form 4
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*
BERG DONALD C

(Last) (First) (Middle)
850 DIXIE HIGHWAY

(Street)
LOUISVILLE KY 40210

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA/BFB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
12/06/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 22,605 D
Class B Common 12/06/2012 M 7,037 A $23.89 52,613 D
Class B Common 12/06/2012 F(1) 4,454 D $68.43 48,159 D
Class B Common 3,962.16(2) I By 401(k) Plan
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) $23.89 12/06/2012 M 7,037 05/01/2007 04/30/2014 Class B Common 7,037 $0 0 D
Stock Appreciation Right $30.36 05/01/2008 04/30/2015 Class B Common 19,877 19,877 D
Stock Appreciation Right $37.13 05/01/2009 04/30/2016 Class B Common 15,377 15,377 D
Stock Appreciation Right $35.87 05/01/2010 04/30/2017 Class B Common 17,603 17,603 D
Stock Appreciation Right $37.72 05/01/2011 04/30/2018 Class B Common 20,678 20,678 D
Stock Appreciation Right $28.74 05/01/2012 04/30/2019 Class B Common 33,881 33,881 D
Stock Appreciation Right $40.83 05/01/2013 04/30/2020 Class B Common 18,512 18,512 D
Stock Appreciation Right $49.3 05/01/2014 04/30/2021 Class B Common 19,628 19,628 D
Stock Appreciation Right $62.36 05/01/2015 04/30/2022 Class B Common 25,859 25,859 D
Explanation of Responses:
1. The closing prices of BF-B ($68.43) on December 5, 2012 was used to calculate the tax withholding obligation.
2. Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of December 6, 2012.
Remarks:
Diane M. Barhorst, Attorney in Fact for Donald C. Berg 12/10/2012
** 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).
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