Filing Details
- Accession Number:
- 0000014693-11-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-04 15:07:54
- Reporting Period:
- 2011-01-03
- Filing Date:
- 2011-01-04
- Accepted Time:
- 2011-01-04 15:07:54
- 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 |
---|---|---|---|---|---|---|---|
1259381 | C Jane Morreau | 850 Dixie Highway Louisville 40210 | Svp, Director Finance | 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 | 2011-01-03 | 2,525 | $26.29 | 2,560 | No | 4 | M | Direct | |
Class B Common | Disposition | 2011-01-03 | 1,563 | $69.62 | 997 | No | 4 | F | Direct | |
Class B Common | Disposition | 2011-01-03 | 962 | $69.47 | 35 | 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 | 2011-01-03 | 2,525 | $0.00 | 2,525 | $26.29 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2004-05-01 | 2011-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 957 | Direct | |
Class B Common | 1,331 | Direct |
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) | $24.70 | 2005-05-01 | 2012-04-30 | 3,211 | 3,211 | Direct |
Class B Common | Non-Qualified Stock Option (right to buy) | $30.18 | 2006-05-01 | 2013-04-30 | 3,741 | 3,741 | Direct |
Class B Common | Non-Qualified Stock Option (right to buy) | $35.83 | 2007-05-01 | 2014-04-30 | 3,309 | 3,309 | Direct |
Class B Common | Stock Appreciation Right | $45.53 | 2008-05-01 | 2015-04-30 | 2,859 | 2,859 | Direct |
Class B Common | Stock Appreciation Right | $55.69 | 2006-07-27 | 2016-04-30 | 5,270 | 5,270 | Direct |
Class B Common | Stock Appreciation Right | $53.80 | 2010-05-01 | 2017-04-30 | 5,830 | 5,830 | Direct |
Class B Common | Stock Appreciation Right | $56.58 | 2011-05-01 | 2018-04-30 | 4,474 | 4,474 | Direct |
Class B Common | Stock Appreciation Right | $43.10 | 2012-05-01 | 2019-04-30 | 7,192 | 7,192 | Direct |
Class B Common | Stock Appreciation Right | $61.24 | 2013-05-01 | 2020-04-30 | 7,899 | 7,899 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2012-04-30 | 3,211 | 3,211 | Direct |
2013-04-30 | 3,741 | 3,741 | Direct |
2014-04-30 | 3,309 | 3,309 | Direct |
2015-04-30 | 2,859 | 2,859 | Direct |
2016-04-30 | 5,270 | 5,270 | Direct |
2017-04-30 | 5,830 | 5,830 | Direct |
2018-04-30 | 4,474 | 4,474 | Direct |
2019-04-30 | 7,192 | 7,192 | Direct |
2020-04-30 | 7,899 | 7,899 | Direct |
Footnotes
- Price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.45 to $69.49, 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 this range.
- Includes shares acquired through the Brown-Forman Corporation Employee Stock Purchase Program as of close of business on January 3, 2011.
- All outstanding derivative security amounts and exercise prices were adjusted on December 10, 2010, the record date for the Issuer's December 28, 2010 special cash dividend.
- These options were previously reported as covering 2,489 shares at an exercise price of $26.67 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These options were previously reported as covering 3,165 shares at an exercise price of $25.06 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These options were previously reported as covering 3,688 shares at an exercise price of $30.62 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These options were previously reported as covering 3,262 shares at an exercise price of $36.35 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 2,818 shares at an exercise price of $46.19 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 5,195 shares at an exercise price of $56.50 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 5,747 shares at an exercise price of $54.58 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 4,410 shares at an exercise price of $57.40 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 7,089 shares at an exercise price of $43.72 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
- These stock appreciation rights were previously reported as covering 7,786 shares at an exercise price of $62.13 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.