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 |
|
|||||||||||||||
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)
|
2. Issuer Name and Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA, BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 07/11/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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 | 12/26/2012 | G | V | 14,416 | D | $0 | 0(1) | D | ||
Class A Common | 36,746(2) | I | GRAT | |||||||
Class A Common | 18(3) | I | Eleanor Lee Trusts | |||||||
Class A Common | 316,837(4) | I | Hebe Three Limited Partnership | |||||||
Class A Common | 13,063(5) | I | Woodford Partners California, LLC | |||||||
Class A Common | 49,257(6) | I | Longview Charitable LP | |||||||
Class A Common | 2,745(7) | I | Trust fbo child | |||||||
Class A Common | 2,500(8) | I | Trust fbo Victoire Brown | |||||||
Class A Common | 9,970(9) | I | Trust fbo child | |||||||
Class A Common | 10,162(10) | I | Trust fbo child | |||||||
Class A Common | 20,439(11) | I | Trust fbo Owsley Brown III | |||||||
Class A Common | 3,330,115(12) | I | Olympus Three, LLC | |||||||
Class B Common | 07/11/2012 | W | V | 12 | A | $0 | 68,532(13) | D | ||
Class B Common | 12/26/2012 | G | V | 68,532 | D | $0 | 0 | D | ||
Class B Common | 562(14) | I | c/f child | |||||||
Class B Common | 562(15) | I | c/f child | |||||||
Class B Common | 1,980(16) | I | Owsley Brown II IRA | |||||||
Class B Common | 39,447(17) | I | CLB Grandchildren Eq. Tr | |||||||
Class B Common | 12,895(18) | I | Eleanor Lee Trusts | |||||||
Class B Common | 546(19) | I | Hebe Exempt Trust | |||||||
Class B Common | 215,284(20) | I | Hebe Three Limited Partnership | |||||||
Class B Common | 08/20/2012 | W | V | 192,223(21) | D | $0 | 0 | I | Hebe Non-Exempt Trust | |
Class B Common | 08/20/2012 | W | V | 64,075 | A | $0 | 64,075 | I | Hebe Tr fbo Owsley Brown III | |
Class B Common | 12/19/2012 | G | V | 43,470 | D | $0 | 20,605 | I | Hebe Trust fbo Owsley Brown III | |
Class B Common | 12/26/2012 | G | V | 20,604 | D | $0 | 0 | I | Hebe Trust fbo Owsley Brown III | |
Class B Common | 19,200(22) | I | Longview Charitable LP | |||||||
Class B Common | 117(23) | I | Trust fbo child | |||||||
Class B Common | 355(24) | I | Trust fbo Victoire Brown | |||||||
Class B Common | 1,924(25) | I | Trust fbo child |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 4,805 additional shares of Class A common stock. |
2. Includes additional 12,582 shares of Class A common stock issued in the August 2012 stock split. |
3. Includes additional 6 shares of Class A common stock issued in the August 2012 stock split. |
4. Includes additional 105,612 shares of Class A common stock issued in the August 2012 stock split. |
5. Includes additional 4,354 shares of Class A common stock issued in the August 2012 stock split. |
6. Includes additional 16,419 shares of Class A common stock issued in the August 2012 stock split. |
7. Includes additional 915 shares of Class A common stock issued in the August 2012 stock split. |
8. Includes additional 833 shares of Class A common stock issued in the August 2012 stock split. |
9. Includes additional 3,323 shares of Class A common stock issued in the August 2012 stock split. |
10. Includes additional 3,387 shares of Class A common stock issued in the August 2012 stock split. |
11. Includes additional 6,813 shares of Class A common stock issued in the August 2012 stock split. |
12. Includes additional 1,110,038 shares of Class A common stock issued in the August 2012 stock split. |
13. Includes additional 22,840 shares of Class Bcommon stock issued in the August 2012 stock split. |
14. Includes additional 187 shares of Class Bcommon stock issued in the August 2012 stock split. |
15. Includes additional 187 shares of Class Bcommon stock issued in the August 2012 stock split. |
16. Includes additional 660 shares of Class Bcommon stock issued in the August 2012 stock split. |
17. Includes additional 13,149 shares of Class Bcommon stock issued in the August 2012 stock split. |
18. Includes additional 4,298 shares of Class Bcommon stock issued in the August 2012 stock split. |
19. Includes additional 182 shares of Class Bcommon stock issued in the August 2012 stock split. |
20. Includes additional 71,761 shares of Class Bcommon stock issued in the August 2012 stock split. |
21. Includes additional 64,074 shares of Class Bcommon stock issued in the August 2012 stock split. |
22. Includes additional 6,400 shares of Class Bcommon stock issued in the August 2012 stock split. |
23. Includes additional 39 shares of Class Bcommon stock issued in the August 2012 stock split. |
24. Includes additional 118 shares of Class Bcommon stock issued in the August 2012 stock split. |
25. Includes additional 641 shares of Class Bcommon stock issued in the August 2012 stock split. |
Remarks: |
Diane M. Barhorst, Atty. in Fact for Owsley Brown III | 01/14/2013 | |
** 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. |