0001181431-13-019255.txt : 20130327 0001181431-13-019255.hdr.sgml : 20130327 20130327211148 ACCESSION NUMBER: 0001181431-13-019255 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130326 FILED AS OF DATE: 20130327 DATE AS OF CHANGE: 20130327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STUBBS DACE BROWN CENTRAL INDEX KEY: 0001197231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 002-26821 FILM NUMBER: 13721336 MAIL ADDRESS: STREET 1: PO BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 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 rrd375284.xml X0306 4 2013-03-26 0 0000014693 BROWN FORMAN CORP BFA, BFB 0001197231 STUBBS DACE BROWN 850 DIXIE HIGHWAY LOUISVILLE KY 40210 1 0 0 0 Class A Common 101409.7 D Class A Common 235495 I SMPL 2012 Partnership Class A Common 2379.1 I Albrecht Trust Class A Common 1758.7 I GGB Trust Class A Common 3882267 I Log House 2011 LP Class B Common 2013-03-26 4 M 0 6253 18.94 A 308282.5 D Class B Common 2013-03-26 4 F 0 1711 69.23 D 306571.5 D Class B Common 2013-03-26 4 S 0 4542 69.93 D 302029.5 D Class B Common 175000 I WKS Partnership Class B Common 577566 I Log House 2011 LP Non-Qualified Stock Option (right to buy) 18.94 2013-03-26 4 M 0 6253 0 D 2003-05-01 2013-04-30 Class B Common 6253 0 D Non-Qualified Stock Option (right to buy) 22.49 2004-07-22 2014-04-30 Class B Common 4867 4867 D Stock Appreciation Rights 28.58 2005-07-28 2015-04-30 Class B Common 5658 5658 D Stock Appreciation Rights 34.95 2006-07-27 2016-04-30 Class B Common 4819 4819 D Stock Appreciation Rights 33.76 2007-07-26 2017-04-30 Class B Common 5987 5987 D Stock Appreciation Rights 35.51 2008-07-24 2018-04-30 Class B Common 5495 5495 D Stock Appreciation Rights 27.05 2009-07-23 2019-04-30 Class B Common 6752 6752 D Stock Appreciation Rights Class B Common 3306.95 3306.95 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.82 to $70.04 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. 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. 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. Laura H. Pulliam, Attorney in Fact for Dace Brown Stubbs 2013-03-27