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 [ BFA, BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/18/2012 | ||||||||||||||||||||||||||
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 | 12/18/2012 | G | V | 10,000 | A | $0 | 10,000 | I | Alexander Joy | |
Class A Common | 12/18/2012 | G | V | 5,000 | A | $0 | 5,000 | I | Christopher Joy | |
Class A Common | 12/18/2012 | G | V | 22,000 | A | $0 | 22,000 | I | Caitlin Joy | |
Class A Common | 12/18/2012 | G | V | 16,000 | A | $0 | 16,000 | I | Charles Joy | |
Class A Common | 190,326(1) | D | ||||||||
Class A Common | 23,184(2) | I | Spouse | |||||||
Class A Common | 5,922(3) | I | Caitlin Joy UTMA | |||||||
Class A Common | 10,548(4) | I | Charles Joy UTMA | |||||||
Class A Common | 22,824(5) | I | Christopher Joy UTMA | |||||||
Class A Common | 15,633(6) | I | Alexander Joy UTMA | |||||||
Class A Common | 8,480,881(7) | I | Avish Agincourt, LLC | |||||||
Class A Common | 56,334(8) | I | Annsley Thornton Trust | |||||||
Class B Common | 489,549(9) | D | ||||||||
Class B Common | 30,726(10) | I | Spouse | |||||||
Class B Common | 4,893(11) | I | Caitlin Joy UTMA | |||||||
Class B Common | 8,895(12) | I | Charles Joy UTMA | |||||||
Class B Common | 20,773(13) | I | Christopher Joy UTMA | |||||||
Class B Common | 13,125(14) | I | Alexander Joy UTMA | |||||||
Class B Common | 4,756,912(15) | I | Avish Agincourt, LLC | |||||||
Class B Common | 41,046(16) | I | Annsley Thornton Trust | |||||||
Class B Common | 300(17) | I | Caitlin Joy IMA | |||||||
Class B Common | 300(17) | I | Charles Joy IMA | |||||||
Class B Common | 300(17) | I | Christopher Joy IMA | |||||||
Class B Common | 300(17) | I | Alexander Joy IMA | |||||||
Class B Common | 339(18) | I | C.F. Joy Irrev. Trust FBO Caitlin Joy | |||||||
Class B Common | 339(18) | I | C.F. Joy Irrev. Trust FBO Charles Joy | |||||||
Class B Common | 339(18) | I | C.F. Joy Irrev. Trust FBO Christopher Joy | |||||||
Class B Common | 339(18) | I | C.F. Joy Irrev. Trust FBO Alexander Joy |
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 |
Explanation of Responses: |
1. 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 63,442 additional shares of Class A common stock. |
2. Includes 7,728 additional Class A shares of common stock issued in the August stock split. |
3. Includes 1,974 additional Class A shares of common stock issued in the August stock split. |
4. Includes 3,516 additional Class A shares of common stock issued in the August stock split. |
5. Includes 7,608 additional Class A shares of common stock issued in the August stock split. |
6. Includes 5,211 additional Class A shares of common stock issued in the August stock split. |
7. Includes 2,826,960 additional Class A shares of common stock issued in the August stock split. The undersigned disclaims beneficial ownership of shares held by all entities set forth in this form except to the extent of her pecuniary interest therein. |
8. Includes 18,778 additional Class A shares of common stock issued in the August stock split. |
9. Includes 163,183 additional Class B shares of common stock issued in the August stock split. |
10. Includes 10,242 additional Class B shares of common stock issued in the August stock split. |
11. Includes 1,631 additional Class B shares of common stock issued in the August stock split. |
12. Includes 2,965 additional Class B shares of common stock issued in the August stock split. |
13. Includes 6,924 additional Class B shares of common stock issued in the August stock split. |
14. Includes 4,375 additional Class B shares of common stock issued in the August stock split. |
15. Includes 1,795,162 additional Class B shares of common stock issued in the August stock split. Also updated to reflect redemptions of other LLC members that did not change the reporting person's pecuniary interest. |
16. Includes 13,682 additional Class B shares of common stock issued in the August stock split. |
17. Includes 100 additional Class B shares of common stock issued in the August stock split. |
18. Includes 105 additional Class B shares of common stock issued in the August stock split. Also updated to reflect dividend reinvestment. |
Laura H. Pulliam, Attorney in Fact for Catherine Frazier Joy | 04/12/2013 | |
** 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. |