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) 12/31/2012 | ||||||||||||||||||||||||||
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 | 257,700 | D | ||||||||
Class A Common | 504,775 | I | Owsley Brown II 1994 GRAT | |||||||
Class A Common | 67,714 | I | Trust u/a Owsley Brown III | |||||||
Class A Common | 12/31/2012 | S(1)(2) | 2,002,581 | D | $61.255 | 3,330,114 | I | Olympus Three, LLC | ||
Class A Common | 12/31/2012 | S(1)(2) | 2,418 | D | $61.255 | 0 | I | Guilford-Brown LP | ||
Class A Common | 12/31/2012 | S(1)(2) | 840 | D | $61.255 | 0 | I | Driftwood Holding Three LLC | ||
Class A Common | 12/31/2012 | S(1)(2) | 1,499 | D | $61.255 | 0 | I | Longview LP | ||
Class A Common | 12/31/2012 | G(3) | V | 1,251,558 | D | (3) | 1,277,100 | I | Polaris LLC | |
Class B Common | 64,189 | D | ||||||||
Class B Common | 1,980 | I | Owsley Brown II IRA | |||||||
Class B Common | 126,193 | I | Owsley Brown II 1994 GRAT | |||||||
Class B Common | 12/31/2012 | S(1)(2) | 4,031,268 | D | $62.46 | 6,703,641 | I | Olympus Three LLC | ||
Class B Common | 12/31/2012 | S(1)(2) | 44,251 | D | $62.46 | 0 | I | Driftwood Holding Three LLC | ||
Class B Common | 12/31/2012 | S(1)(2) | 652 | D | $62.46 | 0 | I | Longview LP | ||
Class B Common | 253,176 | I | Estate of Owsley Brown II | |||||||
Class B Common | 12/31/2012 | G(3) | V | 336,728 | D | (3) | 343,600 | I | Polaris LLC |
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 | ||||||||
Non-Qualified Stock Option (right to buy) | $22.49 | 05/01/2007 | 04/30/2014 | Class B Common | 131,303 | 131,303 | D | ||||||||
Stock Appreciation Right | $33.65 | 11/15/2007 | 07/24/2015 | Class B Common | 5,311 | 5,311 | D |
Explanation of Responses: |
1. The reporting person was appointed administrator of the Estate of Owsley Brown II in October 2011. On 12/21/12, the Estate distributed to the reporting person a 64.59% interest in Olympus Three, LLC, in which the reporting person had previously reported a pecuniary interest. On 12/31/12, in a series of nearly simultaneous transactions, the Estate transferred a .3265% interest in Guiford-Brown LP, a 9.79% interest in Driftwood Holding Three LLC and a 1% interest in Longview LP to the Owsley Brown Marital Trust, which transferred them to the reporting person, who then sold them and a 60.14% interest in Olympus Three LLC to a family trust in which the reporting person has no pecuniary interest. Following these transactions, neither the Estate nor the reporting person has a pecuniary interest in Guilford-Brown LP, Driftwood Holding Three LLC or Longview LP, but the reporting person continues to have a pecuniary interest in Olympus Three LLC. |
2. The reporting person disclaims beneficial ownership of all entities set forth in this form except to the extent of her pecuniary interest therein. |
3. On 12/31/12, the reporting person gifted a 98% interest in Polaris LLC to a charitable lead annuity trust in which she has no pecuniary interest. |
Remarks: |
Diane M. Barhorst, Atty in Fact for Christina Lee Brown | 01/03/2013 | |
** 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. |