|
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 |
|
| |||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||
| 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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Appreciation Right (1) | $ 57.61 (3) | 09/25/2008 | 04/30/2018 | Class B Common | 2,833 (3) | 2,833 (3) | D | ||||||||
| Stock Appreciation Right (1) | $ 43.1 (4) | 07/23/2009 | 04/30/2019 | Class B Common | 7,812 (4) | 7,812 (4) | D | ||||||||
| Stock Appreciation Right (1) | $ 61.24 (2) | 07/22/2010 | 04/30/2020 | Class B Common | 3,002 | 3,002 | D | ||||||||
| Deferred Stock Units | (5) | 07/28/2011 | A | 811.36 | (6) | (6) | Class B Common | 811.36 | $ 0 | 1,824.23 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Cook John D. 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X | |||
| Diane M. Barhorst, Attorney in Fact for John D. Cook | 08/05/2011 | |
| **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) | All outstanding derivative security amounts and exercise prices were adjusted on December 10, 2010, the record date for the Issuer's December 28, 2010 special cash dividend. |
| (2) | These stock appreciation rights were previously reported as covering 2,959 shares at an exercise price of $62.13, but were adjusted to reflect the December 28, 2010 special cash dividend. |
| (3) | These stock appreciation rights were previously reported as covering 2,793 shares at an exercise price of $58.45, but were adjusted to reflect the December 28, 2010 special cash dividend. |
| (4) | These stock appreciation rights were previously reported as covering 7,700 shares at an exercise price of $43.72, but were adjusted to reflect the December 28, 2010 special cash dividend. |
| (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. Grants made on July 28, 2011, were based on the closing price of the Company's Class B common stock on that date ($73.95). 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. |