Filing Details

Accession Number:
0001225208-13-016116
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-12 15:50:56
Reporting Period:
2013-07-11
Filing Date:
2013-07-12
Accepted Time:
2013-07-12 15:50:56
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 2013-07-11 1,000 $73.80 5,146 No 4 P Indirect Spouse's trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $73.679 to $73.92, 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.
  2. Updated to clarify that the shares are held in trust rather than directly by spouse.
  3. Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of July 11, 2013.
  4. Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
  5. The restricted stock units vest on April 30, 2014.
  6. The restricted stock units vest on April 30, 2015.
  7. The restricted stock units vest on April 30, 2016.