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) 10/01/2012 | ||||||||||||||||||||||||||
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 | 10/01/2012 | G(2) | 77,232 | D | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 10/01/2012 | G(2) | 77,232 | A | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 01/02/2013 | W(1) | 1,264,790 | D | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 01/02/2013 | W(1) | 1,264,790 | A | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 02/20/2013 | W(1) | 1,551,004 | D | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 02/20/2013 | W(1) | 1,551,004 | A | $0 | 9,086,138 | I | Avish Agincourt LLC | ||
Class A Common | 08/20/2013 | W | V | 8,250 | A | $0 | 8,250 | I | OBF Revocable Trust | |
Class A Common | 9,764 | I | Estate of Owsley Frazier(3) | |||||||
Class A Common | 207,313 | D | ||||||||
Class A Common | 354 | I | Cordt Huneke Trust | |||||||
Class A Common | 354 | I | Chase Huneke Trust | |||||||
Class A Common | 354 | I | Brooke Huneke Trust | |||||||
Class A Common | 354 | I | Kelli Huneke Trust | |||||||
Class A Common | 5,922 | I | Brooke Huneke UTMA | |||||||
Class A Common | 5,922 | I | Kelli Huneke UTMA | |||||||
Class A Common | 4,860 | I | Annsley Frazier Thornton Trust | |||||||
Class B Common | 10/01/2012 | G(2) | 35,260 | D | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 10/01/2012 | G(2) | 35,260 | A | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 01/02/2013 | W(1) | 577,439 | D | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 01/02/2013 | W(1) | 577,439 | A | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 02/20/2013 | W(1) | 708,110 | D | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 02/20/2013 | W(1) | 708,110 | A | $0 | 4,148,269 | I | Avish Agincourt LLC | ||
Class B Common | 08/20/2013 | W | V | 148 | A | $0 | 148 | I | OBF Revocable Trust | |
Class B Common | 223,213 | D | ||||||||
Class B Common | 1,290 | I | Cordt Huneke Trust | |||||||
Class B Common | 1,702 | I | Chase Huneke Trust | |||||||
Class B Common | 1,702 | I | Brooke Huneke Trust | |||||||
Class B Common | 1,702 | I | Kelli Huneke Trust | |||||||
Class B Common | 5,155 | I | Brooke Huneke UTMA | |||||||
Class B Common | 5,065 | I | Kelli Huneke 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. Represents termination of a trust following the death of a family member and the distribution of LLC units from the trust to the insider. |
2. Represents transfer of LLC units from the insider to a family trust. |
3. The insider was appointed as executor of the Estate of Owsley Brown Frazier on August 23, 2012. |
Remarks: |
The undersigned disclaims beneficial ownership of shares held by any entities set forth on this form except to the extent of her pecuniary interest therein. |
Laura H. Pulliam, Attorney in Fact for Laura Frazier | 10/22/2013 | |
** 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. |