Filing Details
- Accession Number:
- 0001225208-13-016196
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-16 11:22:09
- Reporting Period:
- 2013-07-12
- Filing Date:
- 2013-07-16
- Accepted Time:
- 2013-07-16 11:22:09
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
14693 | Brown Forman Corp | BF'B | Beverages (2080) | 610143150 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1362478 | Iv Garvin George Brown | 850 Dixie Highway Louisville KY 40210 | Executive Vice President | Yes | 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 A Common | Acquisiton | 2013-07-12 | 900 | $73.77 | 6,046 | No | 4 | P | Indirect | Spouse's trust |
Class A Common | Acquisiton | 2013-07-15 | 25 | $74.37 | 6,071 | No | 4 | P | Indirect | Spouse's trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Spouse's trust |
No | 4 | P | Indirect | Spouse's trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 180,000 | Direct | |
Class B Common | 222,933 | Direct | |
Class A Common | 5,090 | Indirect | 2010 GRAT |
Class B Common | 17,418 | Indirect | 2010 GRAT |
Class A Common | 44,000 | Indirect | 2012 GRAT |
Class B Common | 11,814 | Indirect | By 401k |
Class A Common | 21 | Indirect | By G. Garvin Brown III Estate |
Class B Common | 2,746 | Indirect | By G. Garvin Brown III Estate |
Class A Common | 3,963,535 | Indirect | CBGB-2 LP |
Class B Common | 540,883 | Indirect | CBGB-2 LP |
Class A Common | 6,628 | Indirect | Crummey Trust |
Class B Common | 2,269 | Indirect | Crummey Trust |
Class B Common | 78,300 | Indirect | GGB4 2010 #1 LP |
Class A Common | 529,554 | Indirect | GGB4 2010#1 LLC |
Class A Common | 603,232 | Indirect | GGB4 2012 LP |
Class B Common | 28,843 | Indirect | GGB4 2012 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 | 2007-05-01 | 2014-04-30 | 3,089 | 3,089 | Direct |
Class B Common | Restricted Stock Units | $0.00 | 2014-04-30 | 882 | 882 | Direct | |
Class B Common | Restricted Stock Units | $0.00 | 2015-04-30 | 3,312 | 3,312 | Direct | |
Class B Common | Restricted Stock Units | $0.00 | 2016-04-30 | 3,124 | 3,124 | Direct | |
Class B Common | Stock Appreciation Right | $28.58 | 2008-05-01 | 2015-04-30 | 1,068 | 1,068 | Direct |
Class B Common | Stock Appreciation Right | $34.95 | 2009-05-01 | 2016-04-30 | 1,467 | 1,467 | Direct |
Class B Common | Stock Appreciation Right | $33.76 | 2010-05-01 | 2017-04-30 | 1,679 | 1,679 | Direct |
Class B Common | Stock Appreciation Right | $35.51 | 2011-05-01 | 2018-04-30 | 1,542 | 1,542 | Direct |
Class B Common | Stock Appreciation Right | $27.05 | 2012-05-01 | 2019-04-30 | 4,714 | 4,714 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-04-30 | 3,089 | 3,089 | Direct |
882 | 882 | Direct | |
3,312 | 3,312 | Direct | |
3,124 | 3,124 | Direct | |
2015-04-30 | 1,068 | 1,068 | Direct |
2016-04-30 | 1,467 | 1,467 | Direct |
2017-04-30 | 1,679 | 1,679 | Direct |
2018-04-30 | 1,542 | 1,542 | Direct |
2019-04-30 | 4,714 | 4,714 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $73.50 to $73.99, 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 purchased at each separate price within the range set forth in footnote 1 to this Form 4.
- Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of July 11, 2013.
- 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.
- The restricted stock units vest April 30, 2015.
- The restricted stock units vest April 30, 2016.