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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) | $ 20.12 (5) | 05/01/2003 | 04/30/2013 | Class B Common | 5,885 (5) | 5,885 (5) | D | ||||||||
| Non-Qualified Stock Option (right to buy) | $ 23.89 (6) | 07/22/2004 | 04/30/2014 | Class B Common | 4,580 (6) | 4,580 (6) | D | ||||||||
| Stock Appreciation Rights | $ 30.36 (7) | 07/28/2005 | 04/30/2015 | Class B Common | 5,325 (7) | 5,325 (7) | D | ||||||||
| Stock Appreciation Right | $ 37.13 (8) | 07/27/2006 | 04/30/2016 | Class B Common | 4,535 (8) | 4,535 (8) | D | ||||||||
| Stock Appreciation Right | $ 35.87 (9) | 07/26/2007 | 04/30/2017 | Class B Common | 5,634 (9) | 5,634 (9) | D | ||||||||
| Stock Appreciation Right | $ 37.72 (10) | 07/24/2008 | 04/30/2018 | Class B Common | 5,171 (10) | 5,171 (10) | D | ||||||||
| Stock Appreciation Right | $ 28.74 (11) | 07/23/2009 | 04/30/2019 | Class B Common | 6,354 (11) | 6,354 (11) | D | ||||||||
| Deferred Stock Units | (12) | (13) | (13) | Class B Common | 3,085.82 (14) | 3,085.82 (14) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| STUBBS DACE BROWN 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X | |||
| Diane M. Barhorst, Attorney-in-Fact for Dace Brown Stubbs | 09/05/2012 | |
| **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 August 10, 2012, the Class A and Class B common stock of Brown-Forman Corporation split 3-2, resulting in the reporting person's acquisition of 106,698 additional shares of Class A common stock. |
| (2) | Reflects the acquisition of 1,294,089 additional shares of Class A common stock issued in the August 2012 stock split. |
| (3) | Reflects the acquisition of 159,534 additional shares of Class B common stock issued in the August 2012 stock split. |
| (4) | Reflects the acquisition of 192,522 additional shares of Class B common stock issued in the August 2012 stock split. |
| (5) | These stock options were previously reported as covering 3,923 shares at an exercise price of $30.18, but were adjusted to reflect the August 2012 stock split. |
| (6) | These stock options were previously reported as covering 3,053 shares at an exercise price of $35.83, but were adjusted to reflect the August 2012 stock split. |
| (7) | These stock appreciation rights were previously reported as covering 3,550 shares at an exercise price of $45.53, but were adjusted to reflect the August 2012 stock split. |
| (8) | These stock appreciation rights were previously reported as covering 3,023 shares at an exercise price of $55.69, but were adjusted to reflect the August 2012 stock split. |
| (9) | These stock appreciation rights were previously reported as covering 3,756 shares at an exercise price of $53.80, but were adjusted to reflect the August 2012 stock split. |
| (10) | These stock appreciation rights were previously reported as covering 3,447 shares at an exercise price of $56.58, but were adjusted to reflect the August 2012 stock split. |
| (11) | These stock appreciation rights were previously reported as covering 4,236 shares at an exercise price of $43.10, but were adjusted to reflect the August 2012 stock split. |
| (12) | 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. |
| (13) | 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. |
| (14) | Reflects the acquisition of 1,028.6 additional shares of Class B common stock issued in the August 2012 stock split. |