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
  1. 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.
  2. 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.
  3. 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.