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) 10/23/2013 | ||||||||||||||||||||||||||
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 | 10/23/2013 | J(1) | 18,014 | A | $69.23(2) | 9,104,152 | I | Avish Agincourt LLC | ||
Class B Common | 10/23/2013 | J(1) | 17,795 | D | $70.08(2) | 4,130,474 | I | Avish Agincourt LLC | ||
Class A Common | 190,326 | D | ||||||||
Class B Common | 489,549 | D | ||||||||
Class A Common | 10,000 | I | Alexander Joy | |||||||
Class B Common | 300 | I | Alexander Joy IMA | |||||||
Class A Common | 15,633 | I | Alexander Joy UTMA | |||||||
Class B Common | 13,125 | I | Alexander Joy UTMA | |||||||
Class A Common | 56,334 | I | Annsley Frazier Thornton Trust | |||||||
Class B Common | 41,046 | I | Annsley Frazier Thornton Trust | |||||||
Class A Common | 23,184 | I | By Spouse | |||||||
Class B Common | 30,726 | I | By Spouse | |||||||
Class B Common | 339 | I | C.F. Joy Irrev. Trust FBO Alexander Joy | |||||||
Class B Common | 339 | I | C.F. Joy Irrev. Trust FBO Caitlin Joy | |||||||
Class B Common | 339 | I | C.F. Joy Irrev. Trust FBO Charles Joy | |||||||
Class B Common | 339 | I | C.F. Joy Irrev. Trust FBO Christopher Joy | |||||||
Class A Common | 22,000 | I | Caitlin Joy | |||||||
Class B Common | 300 | I | Caitlin Joy IMA | |||||||
Class A Common | 5,922 | I | Caitlin Joy UTMA | |||||||
Class B Common | 4,893 | I | Caitlin Joy UTMA | |||||||
Class A Common | 16,000 | I | Charles Joy | |||||||
Class B Common | 300 | I | Charles Joy IMA | |||||||
Class A Common | 10,548 | I | Charles Joy UTMA | |||||||
Class B Common | 8,895 | I | Charles Joy UTMA | |||||||
Class A Common | 5,000 | I | Christopher Joy | |||||||
Class B Common | 300 | I | Christopher Joy IMA | |||||||
Class A Common | 22,824 | I | Christopher Joy UTMA | |||||||
Class B Common | 20,773 | I | Christopher Joy UTMA |
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 October 23, 2013, a family trust exchanged certain directly held Class A shares for an economically equivalent number of Class B shares held by Avish Agincourt, LLC. The reporting person disclaims beneficial ownership of Avish Agincourt, LLC except to the extent of her pecuniary interest therein. |
2. BFA and BFB average prices as of October 14, 2013 were used to determine the approximate economic equivalency. |
Kelly Bowen, Attorney in Fact for Catherine Frazier Joy | 10/24/2013 | |
** 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. |