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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 25.06 | 05/01/2005 | 04/30/2012 | Class B Common | 808 | 808 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 30.62 | 05/01/2006 | 04/30/2013 | Class B Common | 1,162 | 1,162 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 36.35 | 05/01/2007 | 04/30/2014 | Class B Common | 1,910 | 1,910 | D | ||||||||
Stock Appreciation Right | $ 46.19 | 05/01/2008 | 04/30/2015 | Class B Common | 660 | 528 | D | ||||||||
Stock Appreciation Right | $ 56.5 | 05/01/2009 | 04/30/2016 | Class B Common | 907 | 907 | D | ||||||||
Stock Appreciation Right | $ 54.58 | 05/01/2010 | 04/30/2017 | Class B Common | 1,038 | 1,038 | D | ||||||||
Stock Appreciation Right | $ 57.4 | 05/01/2011 | 07/24/2018 | Class B Common | 953 | 953 | D | ||||||||
Stock Appreciation Right | $ 43.72 | 05/01/2012 | 04/30/2019 | Class B Common | 2,915 | 2,915 | D | ||||||||
Restricted Stock Unit | (5) | (6) | (6) | Class B Common | 545 | 545 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown George Garvin IV 850 DIXIE HWY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty. in Fact for George Garvin Brown IV | 10/06/2010 | |
**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) | Includes shares held under the Brown-Forman Dividend Reinvestment Plan as of September 14, 2010. |
(2) | Held in 401(k) plan as of October 5, 2010. |
(3) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the selling entity on April 15, 2010 and described in a Form 8-K filed by Brown-Forman Corporation with the SEC on April 16, 2010. |
(4) | Price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.96 to $62.00, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within this range. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
(6) | The restricted stock units vest April 30, 2014. |