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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP [ BF'B ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/13/2013 | ||||||||||||||||||||||||||
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 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 | 09/13/2013 | J(1) | 22,217 | A | $67.135 | 88,434(2) | I | 2012 GRAT | ||
Class A Common | 180,496(3) | D | ||||||||
Class B Common | 222,933 | D | ||||||||
Class A Common | 5,090 | I | 2010 GRAT | |||||||
Class B Common | 17,418 | I | 2010 GRAT | |||||||
Class B Common | 11,813.614 | I | By 401k | |||||||
Class A Common | 21 | I | By G. Garvin Brown III Estate | |||||||
Class B Common | 2,746 | I | By G. Garvin Brown III Estate | |||||||
Class A Common | 3,963,535 | I | CBGB-2 LP | |||||||
Class B Common | 540,883 | I | CBGB-2 LP | |||||||
Class A Common | 6,628 | I | Crummey Trust | |||||||
Class B Common | 2,269 | I | Crummey Trust | |||||||
Class A Common | 4,220(4) | I | GGB IV CLAT | |||||||
Class B Common | 78,300 | I | GGB4 2010 #1 LP | |||||||
Class A Common | 529,554 | I | GGB4 2010#1 LLC | |||||||
Class A Common | 496(4) | I | GGB4 2010#2 LLC | |||||||
Class A Common | 553,586(5) | I | GGB4 2012 LP | |||||||
Class B Common | 28,843 | I | GGB4 2012 LP | |||||||
Class A Common | 6,071 | I | Spouse's trust |
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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $22.49 | 05/01/2007 | 04/30/2014 | Class B Common | 3,089 | 3,089 | D | ||||||||
Restricted Stock Units | (6) | 04/30/2014(7) | (7) | Class B Common | 882 | 882 | D | ||||||||
Restricted Stock Units | (6) | 04/30/2015(8) | (8) | Class B Common | 3,312 | 3,312 | D | ||||||||
Restricted Stock Units | (6) | 04/30/2016(9) | (9) | Class B Common | 3,124 | 3,124 | D | ||||||||
Restricted Stock Units | (6) | 04/30/2017(10) | (10) | Class B Common | 3,936 | 3,936 | D | ||||||||
Stock Appreciation Right | $28.58 | 05/01/2008 | 04/30/2015 | Class B Common | 1,068 | 1,068 | D | ||||||||
Stock Appreciation Right | $34.95 | 05/01/2009 | 04/30/2016 | Class B Common | 1,467 | 1,467 | D | ||||||||
Stock Appreciation Right | $33.76 | 05/01/2010 | 04/30/2017 | Class B Common | 1,679 | 1,679 | D | ||||||||
Stock Appreciation Right | $35.51 | 05/01/2011 | 04/30/2018 | Class B Common | 1,542 | 1,542 | D | ||||||||
Stock Appreciation Right | $27.05 | 05/01/2012 | 04/30/2019 | Class B Common | 4,714 | 4,714 | D |
Explanation of Responses: |
1. Represents exchange of shares for other assets between the insider's GRAT and a family trust for estate planning purposes, following the pro rata distribution of such shares on September 11, 2013, from the GGB4 2012 LP. |
2. Total updated to reflect acquisition of 22,217 shares in a pro rata distribution from GGB4 2012 LP. |
3. Total updated to reflect acquisition of 496 shares in a pro rata distribution from GGB4 2012 LP. |
4. Shares acquired in a pro rata distribution from GGB4 2012 LP. |
5. Total updated to reflect disposition of 49,646 shares in a pro rata distribution. |
6. Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
7. The restricted stock units vest April 30, 2014. |
8. The restricted stock units vest April 30, 2015. |
9. The restricted stock units vest April 30, 2016. |
10. The restricted stock units vest April 30, 2017. |
Holli H. Lewis, Atty. in Fact for George Garvin Brown IV | 09/16/2013 | |
** 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. |