Filing Details

Accession Number:
0000014693-13-000025
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-04-02 15:21:41
Reporting Period:
2013-04-01
Filing Date:
2013-04-02
Accepted Time:
2013-04-02 15:21:41
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
1197218 C Donald Berg 850 Dixie Highway
Louisville KY 40210
Chief Financial Officer No Yes 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 2013-04-01 7,120 $28.58 55,279 No 4 M Direct
Class B Common Disposition 2013-04-01 4,330 $71.40 50,949 No 4 F Direct
Class B Common Disposition 2013-04-01 2,790 $71.00 48,159 No 4 S Direct
Class B Common Disposition 2013-04-01 2,000 $71.00 2,232 No 4 S Indirect By 401(k) Plan
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S Direct
No 4 S Indirect By 401(k) Plan
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class B Common Stock Appreciation Right Disposition 2013-04-01 7,120 $0.00 7,120 $28.58
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
14,000 2008-05-01 2015-04-30 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common 22,605 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class B Common Stock Appreciation Right $34.95 2009-05-01 2016-04-30 16,339 16,339 Direct
Class B Common Stock Appreciation Right $33.76 2010-05-01 2017-04-30 18,704 18,704 Direct
Class B Common Stock Appreciation Right $35.51 2011-05-01 2018-04-30 21,971 21,971 Direct
Class B Common Stock Appreciation Right $27.05 2012-05-01 2019-04-30 35,999 35,999 Direct
Class B Common Stock Appreciation Right $38.43 2013-05-01 2020-04-30 19,669 19,669 Direct
Class B Common Stock Appreciation Right $46.40 2014-05-01 2021-04-30 20,855 20,855 Direct
Class B Common Stock Appreciation Right $58.70 2015-05-01 2022-04-30 27,476 27,476 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-04-30 16,339 16,339 Direct
2017-04-30 18,704 18,704 Direct
2018-04-30 21,971 21,971 Direct
2019-04-30 35,999 35,999 Direct
2020-04-30 19,669 19,669 Direct
2021-04-30 20,855 20,855 Direct
2022-04-30 27,476 27,476 Direct
Footnotes
  1. The closing prices of BF-B ($71.40) on March 29, 2013 was used to calculate the tax withholding obligation.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.00 to $71.01, 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 footnote (2) to this Form 4.
  3. Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of March 31, 2013.
  4. All outstanding derivative security amounts and exercise prices were adjusted on December 27, 2012, the record date for the Issuer's December 12, 2012 special cash dividend.