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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right (2) | $ 54.4 | 05/01/2010 | 04/30/2017 | Class B Common | 9,375 | 9,375 | D | ||||||||
Stock Appreciation Right (3) | $ 57.4 | 05/01/2011 | 04/30/2018 | Class B Common | 9,059 | 9,059 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hamel Matthew E 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
EVP, Gen Counsel and Secretary |
Diane M. Barhorst, Attorney in Fact for Matthew E. Hamel | 06/02/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reporting person was issued these shares of restricted stock pursuant to a fiscal 2009 performance-based award granted July 24, 2008, under the Brown-Forman Omnibus Compensation Plan. |
(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. These stock appreciation rights were previously reported as covering 7,500 shares at an exercise price of $68.00 per share, but have been adjusted to reflect the October 2008 stock distribution. |
(3) | 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. These stock appreciation rights were previously reported as covering 7,247 shares at an exercise price of $71.75 per share, but have been adjusted to reflect the October 2008 stock distribution. |