Filing Details
- Accession Number:
- 0001181431-13-019255
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-27 21:11:48
- Reporting Period:
- 2013-03-26
- Filing Date:
- 2013-03-27
- Accepted Time:
- 2013-03-27 21:11:48
- 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 |
---|---|---|---|---|---|---|---|
1197231 | Brown Dace Stubbs | 850 Dixie Highway 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 | Acquisiton | 2013-03-26 | 6,253 | $18.94 | 308,283 | No | 4 | M | Direct | |
Class B Common | Disposition | 2013-03-26 | 1,711 | $69.23 | 306,572 | No | 4 | F | Direct | |
Class B Common | Disposition | 2013-03-26 | 4,542 | $69.93 | 302,030 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class B Common | Non-Qualified Stock Option (right to buy) | Disposition | 2013-03-26 | 6,253 | $0.00 | 6,253 | $18.94 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2003-05-01 | 2013-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 101,410 | Direct | |
Class A Common | 235,495 | Indirect | SMPL 2012 Partnership |
Class A Common | 2,379 | Indirect | Albrecht Trust |
Class A Common | 1,759 | Indirect | GGB Trust |
Class A Common | 3,882,267 | Indirect | Log House 2011 LP |
Class B Common | 175,000 | Indirect | WKS Partnership |
Class B Common | 577,566 | Indirect | Log House 2011 LP |
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 | 2004-07-22 | 2014-04-30 | 4,867 | 4,867 | Direct |
Class B Common | Stock Appreciation Rights | $28.58 | 2005-07-28 | 2015-04-30 | 5,658 | 5,658 | Direct |
Class B Common | Stock Appreciation Rights | $34.95 | 2006-07-27 | 2016-04-30 | 4,819 | 4,819 | Direct |
Class B Common | Stock Appreciation Rights | $33.76 | 2007-07-26 | 2017-04-30 | 5,987 | 5,987 | Direct |
Class B Common | Stock Appreciation Rights | $35.51 | 2008-07-24 | 2018-04-30 | 5,495 | 5,495 | Direct |
Class B Common | Stock Appreciation Rights | $27.05 | 2009-07-23 | 2019-04-30 | 6,752 | 6,752 | Direct |
Class B Common | Stock Appreciation Rights | $0.00 | 3,307 | 3,307 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-04-30 | 4,867 | 4,867 | Direct |
2015-04-30 | 5,658 | 5,658 | Direct |
2016-04-30 | 4,819 | 4,819 | Direct |
2017-04-30 | 5,987 | 5,987 | Direct |
2018-04-30 | 5,495 | 5,495 | Direct |
2019-04-30 | 6,752 | 6,752 | Direct |
3,307 | 3,307 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.82 to $70.04 inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class B common stock.
- Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class B common stock on the first February 1 that is at least six months following the Director's termination from Board service.