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) 01/06/2009 | ||||||||||||||||||||||||||
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 | 142 | D | ||||||||
Class B Common | 01/06/2009 | M | 2,297 | A | $24.3 | 2,332(2) | D | |||
Class B Common | 01/06/2009 | F | 1,562 | D | $52.95 | 770 | D | |||
Class B Common | 01/06/2009 | S | 135 | D | $51.8 | 635 | D | |||
Class B Common | 01/06/2009 | S | 300 | D | $51.81 | 335 | D | |||
Class B Common | 01/06/2009 | S | 200 | D | $51.86 | 135 | D | |||
Class B Common | 01/06/2009 | S | 100 | D | $51.88 | 35 | D | |||
Class B Common | 975.927(1) | D |
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)(3) | $24.3 | 01/06/2009 | M | 2,297 | 05/01/2002 | 04/30/2009 | Class B Common | 2,297 | $24.3 | 0 | D | ||||
Non-Qualified Stock Option (right to buy)(4) | $19.68 | 05/01/2003 | 04/30/2010 | Class B Common | 2,627 | 2,627 | D | ||||||||
Non-Qualified Stock Option (right to buy)(5) | $26.67 | 05/01/2004 | 04/30/2011 | Class B Common | 2,489 | 2,489 | D | ||||||||
Non-Qualified Stock Option (right to buy)(6) | $25.06 | 05/01/2005 | 04/30/2012 | Class B Common | 3,165 | 3,165 | D | ||||||||
Non-Qualified Stock Option (right to buy)(7)(8) | $30.62 | 05/01/2006 | 04/30/2013 | Class B Common | 3,688 | 3,688 | D | ||||||||
Non-Qualified Stock Option (right to buy)(8) | $36.35 | 05/01/2007 | 04/30/2014 | Class B Common | 3,262 | 3,262 | D | ||||||||
Stock Appreciation Right(9) | $46.19 | 05/01/2008 | 04/30/2015 | Class B Common | 2,818 | 2,818 | D | ||||||||
Stock Appreciation Right(10) | $56.5 | 07/27/2006 | 04/30/2016 | Class B Common | 5,195 | 5,195 | D | ||||||||
Stock Appreciation Right(11) | $54.58 | 05/01/2010 | 04/30/2017 | Class B Common | 5,747 | 5,747 | D | ||||||||
Stock Appreciation Right(12) | $57.4 | 05/01/2011 | 04/30/2018 | Class B Common | 4,410 | 4,410 | D |
Explanation of Responses: |
1. Includes shares acquired through the Brown-Forman Corporation Employee Stock Purchase Program as of close of business on January 5, 2009. |
2. In October 2008, the Issuer completed a stock distribution of one share of Class B common stock for every four shares of either Class A or Class B common stock held. This total has been adjusted to reflect 35 Class B shares received through the distribution. |
3. These options were previously reported as covering 1,837 shares at an exercise price of $30.37 per share, but were adjusted to reflect the October 2008 stock distribution. |
4. These options were previously reported as covering 2,101 shares at an exercise price of $24.60 per share, but were adjusted to reflect the October 2008 stock distribution. |
5. These options were previously reported as covering 1,991 shares at an exercise price of $33.34 per share, but were adjusted to reflect the October 2008 stock distribution. |
6. These options were previously reported as covering 2,532 shares at an exercise price of $31.33 per share, but were adjusted to reflect the October 2008 stock distribution. |
7. These options were previously reported as covering 2,950 shares at an exercise price of $38.27 per share, but were adjusted to reflect the October 2008 stock distribution. |
8. These options were previously reported as covering 2,609 shares at an exercise price of $45.44 per share, but were adjusted to reflect the October 2008 stock distribution. |
9. These stock appreciation rights were previously reported as covering 2,254 shares at an exercise price of $57.74 per share, but were adjusted to reflect the October 2008 stock distribution. |
10. These stock appreciation rights were previously reported as covering 4,156 shares at an exercise price of $70.63 per share, but were adjusted to reflect the October 2008 stock distribution. |
11. These stock appreciation rights were previously reported as covering 4,597 shares at an exercise price of $68.22 per share, but were adjusted to reflect the October 2008 stock distribution. |
12. These stock appreciation rights were previously reported as covering 3,528 shares at an exercise price of $71.75 per share, but were adjusted to reflect the October 2008 stock distribution. |
Remarks: |
Diane M. Barhorst, Attn in Fact for: Jane C. Morreau | 01/06/2009 | |
** 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. |