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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barzun Brooke Brown 850 DIXIE HWY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty in Fact for Brooke Brown Barzun | 01/14/2013 | |
**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 January 10, 2013, the reporting person transferred shares from a revocable trust to three GRATs in which she has a pecuniary interest in exchange for cash. The reporting person disclaims beneficial ownership of shares held by trusts and entities set forth on this form except to the extent of her pecuniary interest therein. |
(2) | 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 78,702 additional shares of Class A common stock. |
(3) | Includes additional 833 Class A shares issued in the August 2012 stock split. |
(4) | Includes additional 4,718 Class A shares issued in the August 2012 stock split. |
(5) | Includes additional 84,615 Class A shares issued in the August 2012 stock split. |
(6) | Includes additional 33,773 Class A shares issued in the August 2012 stock split. |
(7) | Includes additional 26,515 Class A shares issued in the August 2012 stock split. |
(8) | Includes additional 20,091 Class A shares issued in the August 2012 stock split. |
(9) | Includes additional 50,000 Class A shares issued in the August 2012 stock split. |
(10) | Includes additional 6 Class A shares issued in the August 2012 stock split. |
(11) | Includes additional 105,612 Class A shares issued in the August 2012 stock split. |
(12) | Includes additional 4,354 Class A shares issued in the August 2012 stock split. |
(13) | Includes additional 16,419 Class A shares issued in the August 2012 stock split. |
(14) | Includes additional 22,571 Class A shares issued in the August 2012 stock split. |
(15) | Includes additional 1,568 Class A shares issued in the August 2012 stock split. |
(16) | Includes additional 2,839 Class A shares issued in the August 2012 stock split. |
(17) | Includes additional 490 Class A shares issued in the August 2012 stock split. |
(18) | Includes additional 246,870 Class A shares issued in the August 2012 stock split. |
(19) | Includes additional 6,813 Class A shares issued in the August 2012 stock split. |
(20) | Includes additional 1,110,038 Class A shares issued in the August 2012 stock split. |
(21) | Includes additional 41,613 Class B shares issued in the August 2012 stock split. |
(22) | Includes additional 118 Class B shares issued in the August 2012 stock split. |
(23) | Includes additional 16,589 Class B shares issued in the August 2012 stock split. |
(24) | Includes additional 8,443 Class B shares issued in the August 2012 stock split. |
(25) | Includes additional 6,628 Class B shares issued in the August 2012 stock split. |
(26) | Includes additional 1,647 Class B shares issued in the August 2012 stock split. |