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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) | $ 24.7 | 05/01/2005 | 04/30/2012 | Class B Common | 820 | 820 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 30.18 | 05/01/2006 | 04/30/2013 | Class B Common | 1,179 | 1,179 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 35.83 | 05/01/2007 | 04/30/2014 | Class B Common | 1,938 | 1,938 | D | ||||||||
Stock Appreciation Right | $ 45.53 | 05/01/2008 | 04/30/2015 | Class B Common | 670 | 670 | D | ||||||||
Stock Appreciation Right | $ 55.69 | 05/01/2009 | 04/30/2016 | Class B Common | 920 | 920 | D | ||||||||
Stock Appreciation Right | $ 53.8 | 05/01/2010 | 04/30/2017 | Class B Common | 1,053 | 1,053 | D | ||||||||
Stock Appreciation Right | $ 56.58 | 05/01/2011 | 07/24/2018 | Class B Common | 967 | 967 | D | ||||||||
Stock Appreciation Right | $ 43.1 | 05/01/2012 | 04/30/2019 | Class B Common | 2,957 | 2,957 | D | ||||||||
Restricted Stock Unit | (8) | (9) | (9) | Class B Common | 545 | 545 | D | ||||||||
Restricted Stock Unit | (8) | (10) | (10) | Class B Common | 2,078 | 2,078 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown George Garvin IV 850 DIXIE HWY LOUISVILLE, KY 40210 |
X | Executive Vice President |
Diane M. Barhorst, Atty. in Fact for George Garvin Brown IV | 04/17/2012 | |
**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) | On April 13, 2012, the reporting person contributed 402,155 Class A shares and LLC units representing a 50% interest in CBGB LLC to GGB4 2012 LLC in exchange for a pro rata interest in GGB4 2012 LLC. The reporting person disclaims beneficial ownership of the shares held by GGB4 2012 LLC and by CBGB LLC except to the extent of his pecuniary interest in those LLCs. |
(2) | On April 13, 2012, GGB4 2010 #2 LLC contributed 19,229 class B shares GGB4 2012 LLC in exchange for a pro rata interest in GGB4 2012 LLC. |
(3) | On April 13, 2012, the undersigned transferred non-voting LLC units representing a 44.75% interest in GGB4 2012 LLC to the GGB4 2012 Irrevocable Trust in exchange for installment payments. The reporting person disclaims beneficial ownership of the shares held by GGB4 2012 LLC except to the extent of his pecuniary interest therein. |
(4) | On April 13, 2012, the undersigned contributed non-voting LLC units representing a 44.75% interest in GGB4 2012 LLC to the G.Garvin Brown IV 2012 GRAT, and a 8.5% interest in GGB4 2012 LLC to the G. Garvin Brown IV Charitable Lead Trust. |
(5) | The reporting person acquired beneficial ownership of these shares in his capacity as co-executor of his father's estate, but disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(6) | On December 22, 2006, the reporting person became the trustee of a trust for the benefit of certain immediate family members. |
(7) | Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of April 13, 2012. |
(8) | Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
(9) | The restricted stock units vest April 30, 2014. |
(10) | The restricted stock units vest April 30, 2015. |