Filing Details

Accession Number:
0000014693-13-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-01-03 16:45:08
Reporting Period:
2012-12-31
Filing Date:
2013-01-03
Accepted Time:
2013-01-03 16:45:08
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
1542909 Lee Christina Brown 850 Dixie Hwy
Louisville KY 40210
No No Yes 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 Disposition 2012-12-31 2,002,581 $61.26 3,330,114 No 4 S Indirect Olympus Three, LLC
Class A Common Disposition 2012-12-31 2,418 $61.26 0 No 4 S Indirect Guilford-Brown LP
Class A Common Disposition 2012-12-31 840 $61.26 0 No 4 S Indirect Driftwood Holding Three LLC
Class A Common Disposition 2012-12-31 1,499 $61.26 0 No 4 S Indirect Longview LP
Class A Common Disposition 2012-12-31 1,251,558 $0.00 1,277,100 No 5 G Indirect Polaris LLC
Class B Common Disposition 2012-12-31 4,031,268 $62.46 6,703,641 No 4 S Indirect Olympus Three LLC
Class B Common Disposition 2012-12-31 44,251 $62.46 0 No 4 S Indirect Driftwood Holding Three LLC
Class B Common Disposition 2012-12-31 652 $62.46 0 No 4 S Indirect Longview LP
Class B Common Disposition 2012-12-31 336,728 $0.00 343,600 No 5 G Indirect Polaris LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Olympus Three, LLC
No 4 S Indirect Guilford-Brown LP
No 4 S Indirect Driftwood Holding Three LLC
No 4 S Indirect Longview LP
No 5 G Indirect Polaris LLC
No 4 S Indirect Olympus Three LLC
No 4 S Indirect Driftwood Holding Three LLC
No 4 S Indirect Longview LP
No 5 G Indirect Polaris LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common 257,700 Direct
Class A Common 504,775 Indirect Owsley Brown II 1994 GRAT
Class A Common 67,714 Indirect Trust u/a Owsley Brown III
Class B Common 64,189 Direct
Class B Common 1,980 Indirect Owsley Brown II IRA
Class B Common 126,193 Indirect Owsley Brown II 1994 GRAT
Class B Common 253,176 Indirect Estate of Owsley Brown II
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 2014-04-30 131,303 131,303 Direct
Class B Common Stock Appreciation Right $33.65 2007-11-15 2015-07-24 5,311 5,311 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-04-30 131,303 131,303 Direct
2015-07-24 5,311 5,311 Direct
Footnotes
  1. The reporting person was appointed administrator of the Estate of Owsley Brown II in October 2011. On 12/21/12, the Estate distributed to the reporting person a 64.59% interest in Olympus Three, LLC, in which the reporting person had previously reported a pecuniary interest. On 12/31/12, in a series of nearly simultaneous transactions, the Estate transferred a .3265% interest in Guiford-Brown LP, a 9.79% interest in Driftwood Holding Three LLC and a 1% interest in Longview LP to the Owsley Brown Marital Trust, which transferred them to the reporting person, who then sold them and a 60.14% interest in Olympus Three LLC to a family trust in which the reporting person has no pecuniary interest. Following these transactions, neither the Estate nor the reporting person has a pecuniary interest in Guilford-Brown LP, Driftwood Holding Three LLC or Longview LP, but the reporting person continues to have a pecuniary interest in Olympus Three LLC.
  2. The reporting person disclaims beneficial ownership of all entities set forth in this form except to the extent of her pecuniary interest therein.
  3. On 12/31/12, the reporting person gifted a 98% interest in Polaris LLC to a charitable lead annuity trust in which she has no pecuniary interest.