Filing Details
- Accession Number:
- 0000014693-13-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-03 16:45:08
- Reporting Period:
- 2012-12-31
- Filing Date:
- 2013-01-03
- Accepted Time:
- 2013-01-03 16:45:08
- 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 |
---|---|---|---|---|---|---|---|
1542909 | Lee Christina Brown | 850 Dixie Hwy Louisville KY 40210 | No | No | Yes | 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 A Common | Disposition | 2012-12-31 | 2,002,581 | $61.26 | 3,330,114 | No | 4 | S | Indirect | Olympus Three, LLC |
Class A Common | Disposition | 2012-12-31 | 2,418 | $61.26 | 0 | No | 4 | S | Indirect | Guilford-Brown LP |
Class A Common | Disposition | 2012-12-31 | 840 | $61.26 | 0 | No | 4 | S | Indirect | Driftwood Holding Three LLC |
Class A Common | Disposition | 2012-12-31 | 1,499 | $61.26 | 0 | No | 4 | S | Indirect | Longview LP |
Class A Common | Disposition | 2012-12-31 | 1,251,558 | $0.00 | 1,277,100 | No | 5 | G | Indirect | Polaris LLC |
Class B Common | Disposition | 2012-12-31 | 4,031,268 | $62.46 | 6,703,641 | No | 4 | S | Indirect | Olympus Three LLC |
Class B Common | Disposition | 2012-12-31 | 44,251 | $62.46 | 0 | No | 4 | S | Indirect | Driftwood Holding Three LLC |
Class B Common | Disposition | 2012-12-31 | 652 | $62.46 | 0 | No | 4 | S | Indirect | Longview LP |
Class B Common | Disposition | 2012-12-31 | 336,728 | $0.00 | 343,600 | No | 5 | G | Indirect | Polaris LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | Olympus Three, LLC |
No | 4 | S | Indirect | Guilford-Brown LP |
No | 4 | S | Indirect | Driftwood Holding Three LLC |
No | 4 | S | Indirect | Longview LP |
No | 5 | G | Indirect | Polaris LLC |
No | 4 | S | Indirect | Olympus Three LLC |
No | 4 | S | Indirect | Driftwood Holding Three LLC |
No | 4 | S | Indirect | Longview LP |
No | 5 | G | Indirect | Polaris LLC |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 257,700 | Direct | |
Class A Common | 504,775 | Indirect | Owsley Brown II 1994 GRAT |
Class A Common | 67,714 | Indirect | Trust u/a Owsley Brown III |
Class B Common | 64,189 | Direct | |
Class B Common | 1,980 | Indirect | Owsley Brown II IRA |
Class B Common | 126,193 | Indirect | Owsley Brown II 1994 GRAT |
Class B Common | 253,176 | Indirect | Estate of Owsley Brown II |
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) | $22.49 | 2007-05-01 | 2014-04-30 | 131,303 | 131,303 | Direct |
Class B Common | Stock Appreciation Right | $33.65 | 2007-11-15 | 2015-07-24 | 5,311 | 5,311 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-04-30 | 131,303 | 131,303 | Direct |
2015-07-24 | 5,311 | 5,311 | Direct |
Footnotes
- The reporting person was appointed administrator of the Estate of Owsley Brown II in October 2011. On 12/21/12, the Estate distributed to the reporting person a 64.59% interest in Olympus Three, LLC, in which the reporting person had previously reported a pecuniary interest. On 12/31/12, in a series of nearly simultaneous transactions, the Estate transferred a .3265% interest in Guiford-Brown LP, a 9.79% interest in Driftwood Holding Three LLC and a 1% interest in Longview LP to the Owsley Brown Marital Trust, which transferred them to the reporting person, who then sold them and a 60.14% interest in Olympus Three LLC to a family trust in which the reporting person has no pecuniary interest. Following these transactions, neither the Estate nor the reporting person has a pecuniary interest in Guilford-Brown LP, Driftwood Holding Three LLC or Longview LP, but the reporting person continues to have a pecuniary interest in Olympus Three LLC.
- The reporting person disclaims beneficial ownership of all entities set forth in this form except to the extent of her pecuniary interest therein.
- On 12/31/12, the reporting person gifted a 98% interest in Polaris LLC to a charitable lead annuity trust in which she has no pecuniary interest.