Filing Details
- Accession Number:
- 0001225208-13-022237
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-24 10:05:22
- Reporting Period:
- 2013-10-23
- Filing Date:
- 2013-10-24
- Accepted Time:
- 2013-10-24 09:05:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1542909 | Lee Christina Brown | 850 Dixie Highway 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 | 2013-10-09 | 2,520 | $0.00 | 255,180 | No | 5 | G | Direct | |
| Class B Common | Disposition | 2013-10-09 | 1,030 | $0.00 | 63,159 | No | 5 | G | Direct | |
| Class B Common | Acquisiton | 2013-10-23 | 131,303 | $22.49 | 194,462 | No | 4 | M | Direct | |
| Class B Common | Disposition | 2013-10-23 | 48,085 | $72.36 | 146,377 | No | 4 | S | Direct | |
| Class B Common | Disposition | 2013-10-23 | 83,218 | $72.46 | 63,159 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | 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 | 2013-10-23 | 131,303 | $0.00 | 131,303 | $22.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-05-01 | 2014-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class B Common | 253,176 | Indirect | Estate of Owsley Brown II |
| Class A Common | 3,330,114 | Indirect | Olympus Three LLC |
| Class B Common | 6,703,641 | Indirect | Olympus Three LLC |
| Class A Common | 504,775 | Indirect | Owsley Brown II 1994 GRAT |
| Class B Common | 126,193 | Indirect | Owsley Brown II 1994 GRAT |
| Class B Common | 1,980 | Indirect | Owsley Brown II IRA |
| Class A Common | 1,277,100 | Indirect | Polaris LLC |
| Class B Common | 343,600 | Indirect | Polaris LLC |
| Class A Common | 67,714 | Indirect | Trust u/a Owsley Brown III |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| 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 |
|---|---|---|---|
| 2015-07-24 | 5,311 | 5,311 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.14 to $72.77, 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 sold at each separate price within the range set forth in footnote 1 to this Form 4.
- The closing prices of BF-B ($72.46) on October 23, 2013 was used to calculate the tax withholding obligation.
Billionaire Hedge Funds
