Filing Details

Accession Number:
0000014693-10-000111
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-10-01 09:38:08
Reporting Period:
2010-09-29
Filing Date:
2010-10-01
Accepted Time:
2010-10-01 09:38:08
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
1362478 Iv Garvin George Brown 850 Dixie Hwy
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 Disposition 2010-09-29 80,262 $61.54 378,185 No 4 S Indirect CBGB, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect CBGB, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common 381,811 Indirect George Garvin Brown III Trust UW
Class A Common 2,642,357 Indirect CBGB LLC
Class A Common 38,447 Indirect Trust u/a FBO Geo. Garvin Brown IV
Class B Common 1,103 Direct
Class B Common 5,966 Indirect By 401(k) Plan
Class B Common 95,452 Indirect George Garvin Brown III Trust UW
Class B Common 9,987 Indirect Trust u/a FBO Geo. Garvin Brown IV
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) $25.06 2005-05-01 2012-04-30 808 808 Direct
Class B Common Non-Qualified Stock Option (right to buy) $30.62 2006-05-01 2013-04-30 1,162 1,162 Direct
Class B Common Non-Qualified Stock Option (right to buy) $36.35 2007-05-01 2014-04-30 1,910 1,910 Direct
Class B Common Stock Appreciation Right $46.19 2008-05-01 2015-04-30 660 528 Direct
Class B Common Stock Appreciation Right $56.50 2009-05-01 2016-04-30 907 907 Direct
Class B Common Stock Appreciation Right $54.58 2010-05-01 2017-04-30 1,038 1,038 Direct
Class B Common Stock Appreciation Right $57.40 2011-05-01 2018-07-24 953 953 Direct
Class B Common Stock Appreciation Right $43.72 2012-05-01 2019-04-30 2,915 2,915 Direct
Class B Common Restricted Stock Unit $0.00 545 545 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2012-04-30 808 808 Direct
2013-04-30 1,162 1,162 Direct
2014-04-30 1,910 1,910 Direct
2015-04-30 660 528 Direct
2016-04-30 907 907 Direct
2017-04-30 1,038 1,038 Direct
2018-07-24 953 953 Direct
2019-04-30 2,915 2,915 Direct
545 545 Direct
Footnotes
  1. Includes shares held under the Brown-Forman Dividend Reinvestment Plan as of September 14, 2010.
  2. Held in 401(k) plan as of September 14, 2010.
  3. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the selling entity on April 15, 2010 and described in a Form 8-K filed by Brown-Forman Corporation with the SEC on April 16, 2010.
  4. Price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.09 to $61.75, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within this range.
  5. Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
  6. The restricted stock units vest April 30, 2014.