Filing Details

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

(Amendment No. 5)

Under the Securities Exchange Act of 1934

 

 

BROWN-FORMAN CORPORATION

(Name of Issuer)

Class A Common Stock

(Title of Class of Securities)

115637-10-0

(CUSIP Number)

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed.

☐ Rule 13d-1(b)

☒ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

 

 

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CUSIP NO. 115637-10-0

 

(1)		Names of reporting persons I.R.S. Identification Nos. of above persons (entities only)   Christina Lee Brown
(2)		Check the appropriate box if a member of a group (see instructions) (a)  ☒        (b)  ☐
(3)		SEC use only
(4)		Citizenship or Place of Organization   United States of America
Number of shares beneficially owned by each reporting person with:				(5)		Sole voting power   0
				(6)		Shared voting power   18,226,646
				(7)		Sole dispositive power   4,062,491
				(8)		Shared dispositive power   6,675,824
(9)		Aggregate amount beneficially owned by each reporting person   18,226,646
(10)		Check if the aggregate amount in Row (9) excludes certain shares (see instructions).   N/A
(11)		Percent of class represented by amount in Row (9)   10.8%
(12)		Type of reporting person (see instructions)   IN

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CUSIP NO. 115637-10-0

 

(1)		Names of reporting persons I.R.S. Identification Nos. of above persons (entities only)   Owsley Brown III
(2)		Check the appropriate box if a member of a group (see instructions) (a)  ☒        (b)  ☐
(3)		SEC use only
(4)		Citizenship or Place of Organization   United States of America
Number of shares beneficially owned by each reporting person with:				(5)		Sole voting power   0
				(6)		Shared voting power   18,226,646
				(7)		Sole dispositive power   1,035,282
				(8)		Shared dispositive power   8,667,196
(9)		Aggregate amount beneficially owned by each reporting person   18,226,646
(10)		Check if the aggregate amount in Row (9) excludes certain shares (see instructions).   N/A
(11)		Percent of class represented by amount in Row (9)   10.8%
(12)		Type of reporting person (see instructions)   IN

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CUSIP NO. 115637-10-0

 

(1)		Names of reporting persons I.R.S. Identification Nos. of above persons (entities only)   Brooke Brown Barzun
(2)		Check the appropriate box if a member of a group (see instructions) (a)  ☒        (b)  ☐
(3)		SEC use only
(4)		Citizenship or Place of Organization   United States of America
Number of shares beneficially owned by each reporting person with:				(5)		Sole voting power   0
				(6)		Shared voting power   18,234,221
				(7)		Sole dispositive power   1,455,403
				(8)		Shared dispositive power   8,598,058
(9)		Aggregate amount beneficially owned by each reporting person   18,234,221
(10)		Check if the aggregate amount in Row (9) excludes certain shares (see instructions).   N/A
(11)		Percent of class represented by amount in Row (9)   10.8%
(12)		Type of reporting person (see instructions)   IN

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CUSIP NO. 115637-10-0

 

(1)		Names of reporting persons I.R.S. Identification Nos. of above persons (entities only)   Augusta Brown Holland
(2)		Check the appropriate box if a member of a group (see instructions) (a)  ☒        (b)  ☐
(3)		SEC use only
(4)		Citizenship or Place of Organization   United States of America
Number of shares beneficially owned by each reporting person with:				(5)		Sole voting power   0
				(6)		Shared voting power   18,713,963
				(7)		Sole dispositive power   1,305,556
				(8)		Shared dispositive power   8,543,817
(9)		Aggregate amount beneficially owned by each reporting person   18,713,963
(10)		Check if the aggregate amount in Row (9) excludes certain shares (see instructions).   N/A
(11)		Percent of class represented by amount in Row (9)   11.1%
(12)		Type of reporting person (see instructions)   IN

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Item 1(a) and 1(b). Name of Issuer and Address of Issuers Principal Executive Offices:

Brown-Forman Corporation

850 Dixie Highway

Louisville, Kentucky 40210

 

Item 2(a).

Names of persons filing:

The persons reporting on this Schedule 13G are Christina Lee Brown, Owsley Brown III, Brooke Brown Barzun and Augusta Brown Holland.

 

Item 2(b).

Address of principal business office or, if none, residence:

Principal Business Address of each individual named herein:

333 East Main Street, Suite 401

Louisville, Kentucky 40202

 

Item 2(c).

Citizenship: Each of the Reporting Persons is a U.S. citizen.

 

Item 2(d).

Title of class of securities: Brown-Forman Corporation Class A Common Stock

 

Item 2(e).

CUSIP No.: 0115637-10-0

 

Item 3.

If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a) [    ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b) [    ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c) [    ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d) [    ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e) [    ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).

(f) [    ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).

(g) [    ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).

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(h) [    ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

(i) [    ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

(j) [    ] Group, in accordance with § 240.13d-1(b)(1)(ii)(J).

 

Item 4.

Ownership.

The Class A Common Stock beneficially owned by each reporting person as of December 31, 2016 is as follows:

 

Reporting Person		Number of Shares Owned
Christina Lee Brown:		Beneficially Owned:			18,226,646
		Percent of Class:			10.8	%
		Sole Voting Power:			0
		Shared Voting Power:			18,226,646
		Sole Dispositive Power:			4,062,491
		Shared Dispositive Power:			6,675,824
Owsley Brown III:		Beneficially Owned:			18,226,646
		Percent of Class:			10.8	%
		Sole Voting Power:			0
		Shared Voting Power:			18,226,646
		Sole Dispositive Power:			1,035,282
		Shared Dispositive Power:			8,667,196
Brooke Brown Barzun:		Beneficially Owned:			18,234,221
		Percent of Class:			10.8	%
		Sole Voting Power:			0
		Shared Voting Power:			18,234,221
		Sole Dispositive Power:			1,455,403
		Shared Dispositive Power:			8,598,058
Augusta Brown Holland:		Beneficially Owned:			18,713,963
		Percent of Class:			11.1	%
		Sole Voting Power:			0
		Shared Voting Power:			18,713,963
		Sole Dispositive Power:			1,305,556
		Shared Dispositive Power:			8,543,817

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Christina Lee Brown, Owsley Brown III, Brooke Brown Barzun and Augusta Brown Holland have agreed in principle to act together for the purpose of voting certain equity securities of the Issuer. Therefore, for purposes of this Schedule 13G, each may be deemed to have acquired beneficial ownership of the equity securities of the Issuer beneficially owned by each of the other Reporting Persons. As of December 31, 2016, the aggregate beneficial ownership of the undersigned Reporting Persons is 18,721,538 shares of Class A Common Stock, or 11.1% of the issued and outstanding Class A Common Stock of the issuer.

 

Item 5.

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [            ].

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

Other persons have the right to receive the dividends and the proceeds of sale from certain of the shares for which the undersigned have voting and dispositional control.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

N/A

 

Item 8.

Identification and Classification of Members of the Group.

See Item 2.

 

Item 9.

Notice of Dissolution of Group.

N/A

 

Item 10.

Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

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Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 13, 2017

/s/ Christina Lee Brown

Christina Lee Brown

/s/ Owsley Brown III

Owsley Brown III

/s/ Brooke Brown Barzun

Brooke Brown Barzun

/s/ Augusta Brown Holland

Augusta Brown Holland

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AGREEMENT AMONG REPORTING PERSONS

The undersigned hereby agree as follows:

1. Each of them is individually eligible to use the Schedule 13G, as amended, to which this Exhibit is attached, and such Schedule 13G is filed on behalf of each of them; and

2. Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other person making the filing, unless such person knows or has reason to believe that such information is inaccurate.

Date: February 13, 2017