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) 10/09/2013 | ||||||||||||||||||||||||||
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 | 10/09/2013 | G | V | 210 | A | $0.0000 | 236,316 | D | ||
Class B Common | 10/09/2013 | G | V | 206 | A | $0.0000 | 561 | I | By Spouse | |
Class A Common | 11/08/2013 | J(1) | 1,000 | A | $0.0000 | 1,000 | I | CLB 2012 Trust | ||
Class B Common | 11/08/2013 | J(1) | 435 | A | $0.0000 | 435 | I | CLB 2012 Trust | ||
Class A Common | 11/08/2013 | J(1) | 98,964 | A | $0.0000 | 98,964 | I | CLB Grandchildren Eq. Tr. | ||
Class B Common | 11/08/2013 | J(1) | 43,064 | A | $0.0000 | 82,511 | I | CLB Grandchildren Eq. Tr. | ||
Class A Common | 11/08/2013 | J(1) | 99,964 | D | $0.0000 | 49,982 | I | Longview LP(2) | ||
Class B Common | 11/08/2013 | J(1) | 43,499 | D | $0.0000 | 21,749 | I | Longview LP(2) | ||
Class A Common | 10/09/2013 | G | V | 210 | A | $0.0000 | 4,914 | I | Trust fbo Child-1 | |
Class A Common | 10/09/2013 | G | V | 210 | A | $0.0000 | 8,728 | I | Trust fbo Child-2 | |
Class A Common | 10/09/2013 | G | V | 210 | A | $0.0000 | 8,728 | I | Trust fbo Child-3 | |
Class B Common | 10,582 | D | ||||||||
Class A Common | 9,057 | I | BBB 2002 GRAT | |||||||
Class A Common | 9,813 | I | BBB 2010 GRAT | |||||||
Class A Common | 41,748 | I | BBB 2011 GRAT | |||||||
Class A Common | 207,381 | I | BBB Revocable Trust | |||||||
Class B Common | 17,250 | I | BBB Revocable Trust | |||||||
Class A Common | 2,500 | I | By Spouse | |||||||
Class A Common | 18 | I | Eleanor Lee Trusts | |||||||
Class B Common | 12,895 | I | Eleanor Lee Trusts | |||||||
Class A Common | 740,610 | I | Guilford-Brown LP | |||||||
Class A Common | 60,273 | I | Hackberry 2007 LP | |||||||
Class B Common | 4,942 | I | Hackberry 2007 LP | |||||||
Class A Common | 150,000 | I | Hackberry 2010 LLC | |||||||
Class A Common | 79,545 | I | Hackberry II LP | |||||||
Class B Common | 19,885 | I | Hackberry II LP | |||||||
Class A Common | 101,320 | I | Hackberry Manor LP | |||||||
Class A Common | 3,330,115 | I | Olympus Three LLC | |||||||
Class B Common | 6,703,641 | I | Olympus Three LLC | |||||||
Class B Common | 1,980 | I | Owsley Brown II IRA |
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 November 8, 2013, Longview LP made a pro rata distribution of issuer shares to its partners. |
2. The reporting person was appointed as one of three advisors to a trust holding general partnership units in this entity as of June 29, 2013. |
Remarks: |
The reporting person disclaims beneficial ownership of shares held by any entities listed on this form except to the extent of her pecuniary interest therein.,Multiple Forms Submitted |
Kelly A. Bowen, Atty in Fact for Brooke Brown Barzun | 11/12/2013 | |
** 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. |