0001193125-17-042174.txt : 20170214 0001193125-17-042174.hdr.sgml : 20170214 20170214094502 ACCESSION NUMBER: 0001193125-17-042174 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROWN FORMAN CORP CENTRAL INDEX KEY: 0000014693 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 610143150 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-14029 FILM NUMBER: 17603252 BUSINESS ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 BUSINESS PHONE: 5025851100 MAIL ADDRESS: STREET 1: P O BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN INC DATE OF NAME CHANGE: 19870816 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Frazier Jean CENTRAL INDEX KEY: 0001425507 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 SC 13G 1 d348454dsc13g.htm SC 13G SC 13G

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

 

 

BROWN-FORMAN CORPORATION

(Name of Issuer)

Class A Common Stock

(Title of Class of Securities)

115637-10-0

(CUSIP Number)

April 21, 2015

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed.

☐ Rule 13d-1(b)

☒ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

 

 

CUSIP NO. 115637-10-0

 

  (1)   

Names of reporting persons

I.R.S. Identification Nos. of above persons (entities only)

 

Jean W. Frazier

  (2)  

Check the appropriate box if a member of a group (see instructions)

(a)  ☐        (b)  ☐

 

  (3)  

SEC use only

 

  (4)  

Citizenship or Place of Organization

 

United States of America

Number of

shares

beneficially

owned by

each

reporting

person

with:

    (5)    

Sole voting power

 

828,330

   (6)   

Shared voting power

 

9,121,614

   (7)   

Sole dispositive power

 

828,330

   (8)   

Shared dispositive power

 

9,121,614

  (9)  

Aggregate amount beneficially owned by each reporting person

 

9,949,944

(10)  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions).

 

N/A

(11)  

Percent of class represented by amount in Row (9)

 

5.9%

(12)  

Type of reporting person (see instructions)

 

IN

Item 1.

Brown-Forman Corporation

850 Dixie Highway

Louisville, Kentucky 40210

 

Item 2.

a) Name: Jean W. Frazier

b) Principal Business Address:  The Glenview Trust Company

                                                     4969 US Highway 42, Suite 2000

                                                     Louisville, Kentucky 40222

c) United States of America

d) Brown-Forman Corporation Class A Common Stock

e) 0115637-10-0

 

Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a) [    ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b) [    ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c) [    ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d) [    ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e) [    ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).

(f) [    ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).

(g) [    ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).

(h) [    ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

(i) [    ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

(j) [    ] Group, in accordance with § 240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership.

The number of shares beneficially owned by the undersigned as of December 31, 2016, is as follows:

 

     Aggregate
Number		  

(a)        Beneficially Owned

      9,949,944   

(b)        Percent of Class

      5.9 % 

(c)        Sole Voting Power

      828,330   

            Shared Voting Power

      9,121,614   

            Sole Disposition Power

      828,330   

            Shared Disposition Power

      9,121,614   

 

Item 5. Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

Other individuals have the right to receive the dividends and the proceeds of sale from certain of the shares for which the undersigned has either sole or shared voting or dispositional control.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

N/A

 

Item 8. Identification and Classification of Members of the Group.

N/A

 

Item 9. Notice of Dissolution of Group.

N/A

Item 10. Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 8, 2017
/s/ Jean W. Frazier
Jean W. Frazier