Filing Details
- Accession Number:
- 0000014693-10-000116
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-10-07 14:28:28
- Reporting Period:
- 2010-10-06
- Filing Date:
- 2010-10-07
- Accepted Time:
- 2010-10-07 14:28:28
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
14693 | Brown Forman Corp | BFA/BFB | Beverages (2080) | 610143150 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1362478 | Iv Garvin George Brown | 850 Dixie Hwy Louisville KY 40210 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class B Common | Disposition | 2010-10-06 | 7,236 | $62.25 | 369,185 | No | 4 | S | Indirect | CBGB, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | CBGB, LLC |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 381,811 | Indirect | George Garvin Brown III Trust UW |
Class A Common | 2,642,357 | Indirect | CBGB LLC |
Class A Common | 38,447 | Indirect | Trust u/a FBO Geo. Garvin Brown IV |
Class B Common | 1,109 | Direct | |
Class B Common | 5,992 | Indirect | By 401(k) Plan |
Class B Common | 95,452 | Indirect | George Garvin Brown III Trust UW |
Class B Common | 9,987 | Indirect | Trust u/a FBO Geo. Garvin Brown IV |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class B Common | Non-Qualified Stock Option (right to buy) | $25.06 | 2005-05-01 | 2012-04-30 | 808 | 808 | Direct |
Class B Common | Non-Qualified Stock Option (right to buy) | $30.62 | 2006-05-01 | 2013-04-30 | 1,162 | 1,162 | Direct |
Class B Common | Non-Qualified Stock Option (right to buy) | $36.35 | 2007-05-01 | 2014-04-30 | 1,910 | 1,910 | Direct |
Class B Common | Stock Appreciation Right | $46.19 | 2008-05-01 | 2015-04-30 | 660 | 528 | Direct |
Class B Common | Stock Appreciation Right | $56.50 | 2009-05-01 | 2016-04-30 | 907 | 907 | Direct |
Class B Common | Stock Appreciation Right | $54.58 | 2010-05-01 | 2017-04-30 | 1,038 | 1,038 | Direct |
Class B Common | Stock Appreciation Right | $57.40 | 2011-05-01 | 2018-07-24 | 953 | 953 | Direct |
Class B Common | Stock Appreciation Right | $43.72 | 2012-05-01 | 2019-04-30 | 2,915 | 2,915 | Direct |
Class B Common | Restricted Stock Unit | $0.00 | 545 | 545 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2012-04-30 | 808 | 808 | Direct |
2013-04-30 | 1,162 | 1,162 | Direct |
2014-04-30 | 1,910 | 1,910 | Direct |
2015-04-30 | 660 | 528 | Direct |
2016-04-30 | 907 | 907 | Direct |
2017-04-30 | 1,038 | 1,038 | Direct |
2018-07-24 | 953 | 953 | Direct |
2019-04-30 | 2,915 | 2,915 | Direct |
545 | 545 | Direct |
Footnotes
- Includes shares held under the Brown-Forman Dividend Reinvestment Plan as of October 6, 2010.
- Held in 401(k) plan as of October 5, 2010.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the selling entity on April 15, 2010 and described in a Form 8-K filed by Brown-Forman Corporation with the SEC on April 16, 2010.
- Price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.13 to $62.30, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within this range.
- Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
- The restricted stock units vest April 30, 2014.