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) 06/26/2012 | ||||||||||||||||||||||||||
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 | 157,404 | D | ||||||||
Class A Common | 1,667 | I | Spouse | |||||||
Class A Common | 9,436(1) | I | GRAT | |||||||
Class A Common | 169,230(1) | I | BBB Revocable Trust | |||||||
Class A Common | 67,547 | I | Hackberry Manor LP | |||||||
Class A Common | 53,030 | I | Hackberry II LP | |||||||
Class A Common | 40,182 | I | Hackberry 2007 LP | |||||||
Class A Common | 100,000 | I | Hackberry 2010 LLC | |||||||
Class A Common | 12 | I | Eleanor Lee Trusts | |||||||
Class A Common | 844,899 | I | Hebe Three Limited Partnership(2) | |||||||
Class A Common | 06/26/2012 | S(3) | 5,725 | D | $90.48 | 0 | I | Driftwood Holdings Three, LLC | ||
Class A Common | 8,709 | I | Woodford Partners Kentucky, LLC | |||||||
Class A Common | 32,838 | I | Longview Charitable LP | |||||||
Class A Common | 45,143 | I | Trust fbo Owsley Brown III | |||||||
Class A Common | 3,136 | I | Trust fbo child | |||||||
Class A Common | 5,679 | I | Trust fbo child | |||||||
Class A Common | 5,679 | I | Trust fbo child | |||||||
Class A Common | 980 | I | Trust fbo children | |||||||
Class A Common | 493,740 | I | Guilford-Brown LP | |||||||
Class A Common | 13,626 | I | Trust fbo Brooke Barzun | |||||||
Class A Common | 2,220,077 | I | Olympus Three LLC | |||||||
Class B Common | 83,226 | D | ||||||||
Class B Common | 237 | I | Spouse | |||||||
Class B Common | 33,178 | I | BBB Revocable Trust | |||||||
Class B Common | 16,886 | I | Hackberry Manor LP | |||||||
Class B Common | 13,257 | I | Hackberry II LP | |||||||
Class B Common | 3,295 | I | Hackberry 2007 LP | |||||||
Class B Common | 125 | I | UTMA | |||||||
Class B Common | 375 | I | UTMA | |||||||
Class B Common | 375 | I | 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. Adjusted to reflect shares transferred from reporting person's revocable trust to GRATs of which the reporting person is trustee and sole annuitant. |
2. Adjusted to reflect change in form of ownership. On June 1, 2012, Hebe Limited Partnership contributed a pro rata portion of its Class A and Class B shares to Hebe Three Limited Partnership, with no change in the pecuniary interests therein. |
3. Represents sale of the reporting person's pecuniary interest in Driftwood Holding Three, LLC. |
Remarks: |
Diane M. Barhorst, Atty in Fact for Brooke Brown Barzun | 06/28/2012 | |
** 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. |