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) 03/26/2012 | ||||||||||||||||||||||||||
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 | 20,000(1) | D | ||||||||
Class A Common | 763,000(1) | I | River Bend 2011 Charitable LP | |||||||
Class A Common | 1,126,085(1) | I | River Bend 2011 LP | |||||||
Class A Common | 03/26/2012 | J(2) | V | 2,063,933 | D | (2) | 2,063,933 | I | Olympus Four, LLC | |
Class A Common | 03/26/2012 | J(2) | V | 2,063,933 | A | (2) | 2,063,933 | I | Olympus Four, LLC | |
Class A Common | 03/27/2012 | G(3) | V | 747,740 | D | (3) | 763,000 | I | River Bend 2011 Charitable LP | |
Class A Common | 03/27/2012 | G(3) | V | 747,740 | A | (3) | 763,000 | I | River Bend 2011 Charitable LP | |
Class A Common | 03/27/2012 | J(4) | V | 833,303 | D | (4) | 1,126,085 | I | River Bend 2011 LP | |
Class A Common | 03/27/2012 | J(4) | V | 833,303 | A | (4) | 1,126,085 | I | River Bend 2011 Charitable LP | |
Class A Common | 438,009 | I | Ganymede LP | |||||||
Class B Common | 124,039 | D | ||||||||
Class B Common | 1,208,770.5 | I | Ganymede LP | |||||||
Class B Common | 488,932 | I | Hebe, LP | |||||||
Class B Common | 3,171 | I | Hebe Non-Exempt Trust fbo Ina Bond | |||||||
Class B Common | 1,092 | I | Hebe Exempt Trust fbo Ina Bond | |||||||
Class B Common | 03/26/2012 | J(2) | V | 1,851,190 | D | (2) | 1,851,190 | I | Olympus Four, LLC | |
Class B Common | 03/26/2012 | J(2) | V | 1,851,190 | A | (2) | 1,851,190 | I | Olympus Four, LLC | |
Class B Common | 4,704 | I | Driftwood Holding Four, LLC | |||||||
Class B Common | 24 | I | Ina Bond Trust B |
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 March 26, 2012, the reporting person contributed shares to River Bend 2011 Charitable LP and River Bend 2011 LP in exchange for a pro rata interest in these limited partnerships. |
2. On March 26, 2012, the members of Olympus Four, LLC contributed 100% of the LLC's units to River Bend 2011 Charitable LP and River Bend 2011 LP in exchange for a pro rata interest in these limited partnerships. The reporting person disclaims beneficial ownership of the shares held by Olympus Four, LLC except to the extent of her pecuniary interest therein. |
3. On March 27, 2012, the partners of River Bend 2011 Charitable LP gave limited partnership units representing approximately 98% of the LP units to a charitable lead annuity trust.. The reporting person disclaims beneficial ownership of the shares held by River Bend 2011 Charitable LP except to the extent of her pecuniary interest therein. |
4. On March 27, 2012, the partners of River Bend 2011 LP transferred limited partnership units representing approximately 74% of the LP units to the Ina Brown Bond 2011 Irrevocable Trust in exchange for quarterly installment payments. The reporting person disclaims beneficial ownership of the shares held by River Bend 2011 LP except to the extent of her pecuniary interest therein. |
Remarks: |
Diane M. Barhorst, Atty in Fact for: Ina Brown Bond | 03/28/2012 | |
** 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. |