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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Brown Forman Corp | NYSE:BF.B | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.16 | -0.36% | 43.76 | 44.22 | 43.22 | 43.73 | 2,020,191 | 21:15:04 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Brown George Garvin IV |
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA/BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Executive Vice President |
850 DIXIE HWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
LOUISVILLE, KY 40210 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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 | 120000 | D |
|
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Class A Common | 402155 | I | GGB4 2012 LLC | |||||||
Class A Common | 2642357 | I | CBGB LLC | |||||||
Class A Common | 34767 | I | Trust u/a FBO Geo. Garvin Brown IV | |||||||
Class A Common | 353036 | I | GGB4 2010#1 LLC | |||||||
Class A Common | 3419 | I | Crumney Trust | |||||||
Class A Common | 1271 | I | By Spouse | |||||||
Class A Common | 14 | I | By G. Garvin Brown III estate | |||||||
Class B Common | 148189 | D |
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Class B Common | 19229 | I | GGB4 2012 LLC | |||||||
Class B Common | 360589 | I | CBGB, LLC | |||||||
Class B Common | 10792 | I | Trust u/a FBO Geo. Garvin Brown IV | |||||||
Class B Common | 52200 | I | GGB4 2010 #2 LLC | |||||||
Class B Common | 1513 | I | Crumney Trust | |||||||
Class B Common | 7026.44 (1) | I | 401(k) Plan | |||||||
Class B Common | 1831 | I | By G. Garvin Brown III estate |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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) | $30.18 | 5/1/2006 | 4/30/2013 | Class B Common | 1179 | 1179 | D |
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Non-Qualified Stock Option (right to buy) | $35.83 | 5/1/2007 | 4/30/2014 | Class B Common | 1938 | 1938 | D |
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Stock Appreciation Right | $45.53 | 5/1/2008 | 4/30/2015 | Class B Common | 670 | 670 | D |
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Stock Appreciation Right | $55.69 | 5/1/2009 | 4/30/2016 | Class B Common | 920 | 920 | D |
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Stock Appreciation Right | $53.80 | 5/1/2010 | 4/30/2017 | Class B Common | 1053 | 1053 | D |
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Stock Appreciation Right | $56.58 | 5/1/2011 | 7/24/2018 | Class B Common | 967 | 967 | D |
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Stock Appreciation Right | $43.10 | 5/1/2012 | 4/30/2019 | Class B Common | 2957 | 2957 | D |
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Restricted Stock Unit | (2) | (3) | (3) | Class B Common | 545 | 545 | D |
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Restricted Stock Unit | (2) | (4) | (4) | Class B Common | 2078 | 2078 | D |
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Deferred Stock Unit | (5) | 7/26/2012 | A | 1960 | (6) | (6) | Class B Common | 1960 | $0 | 1960 | D |
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Explanation of Responses: | |
( 1) | Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of July 26, 2012. |
( 2) | Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
( 3) | The restricted stock units vest April 30, 2014. |
( 4) | The restricted stock units vest April 30, 2015. |
( 5) | Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class B common stock. This grant made on July 26, 2012, was based on the closing price of the Company's Class B common stock on that date ($93.54). On each dividend payment date, participants are credited with DSU equivalents. |
( 6) | Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class B common stock on the first February 1 that is at least six months following the Director's termination from Board service. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Brown George Garvin IV
850 DIXIE HWY LOUISVILLE, KY 40210 |
X |
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Executive Vice President |
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Signatures
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||
Diane M. Barhorst, Atty. in Fact for George Garvin Brown IV | 7/30/2012 | |
** Signature of Reporting Person |
Date
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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 control number. |
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