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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 | ||||||||
Restricted Stock Unit | (4) | (5) | (5) | Class B Common | 1,303 (9) | 1,303 (9) | D | ||||||||
Restricted Stock Uniit | (4) | (6) | (6) | Class B Common | 917 (9) | 917 (9) | D | ||||||||
Restricted Stock Unit | (4) | (7) | (7) | Class B Common | 778 (9) | 778 (9) | D | ||||||||
Restricted Stock Unit | (4) | (8) | (8) | Class B Common | 254 (9) | 254 (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown J McCauley 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty. in Fact for J. McCauley Brown | 01/17/2013 | |
**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) | This number has been adjusted to correct an error in calculating the number of shares held by the reporting person following previously reported transactions. |
(2) | Adjusted to reflect shares transferred between reporting person's direct holdings and GRATS of which the reporting person is trustee and sole annuitant. |
(3) | Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of January16, 2013. |
(4) | Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
(5) | The Restricted Stock Units were granted July 23, 2009, and vest April 30, 2013. |
(6) | The Restricted Stock Units were granted on July 22, 2010, and vest April 30, 2014. |
(7) | The Restricted Stock Units were granted on July 28, 2011, and vest April 30, 2015. |
(8) | The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016. |
(9) | All outstanding derivative security amounts and exercise prices were adjusted on December 27, 2012, the record date for the Issuer's December 12, 2012 special cash dividend. |