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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 | |
---|---|---|---|---|---|---|---|---|
-0.305 | -0.69% | 43.615 | 44.22 | 43.22 | 43.73 | 1,243,352 | 20:39:48 |
FORM 4
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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).
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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 |
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1. Name and Address of Reporting Person
*
Brown Christina Lee |
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP [ BFA, BFB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
850 DIXIE HWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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LOUISVILLE, KY 40210 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
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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 | 257700 | D |
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Class A Common | 504775 | I | Owsley Brown II 1994 GRAT | |||||||
Class A Common | 67714 | I | Trust u/a Owsley Brown III | |||||||
Class A Common | 12/31/2012 | S (1) (2) | 2002581 | D | $61.255 | 3330114 | I | Olympus Three, LLC | ||
Class A Common | 12/31/2012 | S (1) (2) | 2418 | 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) | 1499 | D | $61.255 | 0 | I | Longview LP | ||
Class A Common | 12/31/2012 | G (3) | V | 1251558 | D | (3) | 1277100 | I | Polaris LLC | |
Class B Common | 64189 | D |
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Class B Common | 1980 | I | Owsley Brown II IRA | |||||||
Class B Common | 126193 | I | Owsley Brown II 1994 GRAT | |||||||
Class B Common | 12/31/2012 | S (1) (2) | 4031268 | D | $62.46 | 6703641 | I | Olympus Three LLC | ||
Class B Common | 12/31/2012 | S (1) (2) | 44251 | 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 | 253176 | I | Estate of Owsley Brown II | |||||||
Class B Common | 12/31/2012 | G (3) | V | 336728 | D | (3) | 343600 | I | Polaris LLC |
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) | $22.49 | 5/1/2007 | 4/30/2014 | Class B Common | 131303 | 131303 | D |
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Stock Appreciation Right | $33.65 | 11/15/2007 | 7/24/2015 | Class B Common | 5311 | 5311 | D |
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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. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Brown Christina Lee
850 DIXIE HWY LOUISVILLE, KY 40210 |
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X |
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Signatures
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Diane M. Barhorst, Atty in Fact for Christina Lee Brown | 1/3/2013 | |
** 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. |
1 Year Brown Forman Chart |
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