Brown Forman Corp - Statement of Changes in Beneficial Ownership (4)
July 31 2008 - 10:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Joy Catherine Frazier
|
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA/BFB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/29/2008
|
(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common
|
|
|
|
|
|
|
|
126884
|
D
|
|
Class A Common
|
|
|
|
|
|
|
|
15456
|
I
|
Spouse
|
Class A Common
|
|
|
|
|
|
|
|
3948
|
I
|
Caitlin Joy UTMA
|
Class A Common
|
|
|
|
|
|
|
|
7032
|
I
|
Charles Joy UTMA
|
Class A Common
|
|
|
|
|
|
|
|
15216
|
I
|
Christopher Joy UTMA
|
Class A Common
|
|
|
|
|
|
|
|
10422
|
I
|
Alexander Thornton UTMA
|
Class A Common
|
7/29/2008
|
|
J
(1)
|
|
90
|
A
|
(2)
|
10313
|
I
|
Avish Agincourt, LLC
|
Class A Common
|
|
|
|
|
|
|
|
37556
|
I
|
Annsley Thornton Trust
|
Class B Common
|
|
|
|
|
|
|
|
235716
|
D
|
|
Class B Common
|
|
|
|
|
|
|
|
13296
|
I
|
Spouse
|
Class B Common
|
|
|
|
|
|
|
|
1820
|
I
|
Caitlin Joy UTMA
|
Class B Common
|
|
|
|
|
|
|
|
3338
|
I
|
Charles Joy UTMA
|
Class B Common
|
|
|
|
|
|
|
|
8036
|
I
|
Christopher Joy UTMA
|
Class B Common
|
|
|
|
|
|
|
|
4916
|
I
|
Alexander Joy UTMA
|
Class B Common
|
|
|
|
|
|
|
|
146.548
|
I
|
By Spouse as Custodian for Caitlin Joy
|
Class B Common
|
|
|
|
|
|
|
|
146.548
|
I
|
By Spouse as Custodian for Charles Joy
|
Class B Common
|
|
|
|
|
|
|
|
146.548
|
I
|
By Spouse as Custodian for Christopher Joy
|
Class B Common
|
|
|
|
|
|
|
|
146.548
|
I
|
By Spouse as Custodian for Alexander Joy
|
Class B Common
|
|
|
|
|
|
|
|
14380
|
I
|
Annsley Thornton Trust
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
On July 29, 2008, one of the members of the Avish Agincourt, LLC (the "LLC") exchanged certain directly held Class A shares for an economically equivalent number of Class B shares indirectly held by the LLC. The effect upon the reporting person's beneficial ownership of BFA and BFB shares held by the LLC is reported herein.
|
(
2)
|
BFA and BFB closing prices as of July 28, 2008 were used to determine approximate economic equivalency. For BFA, $70.61; for BFB, $70.39.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Joy Catherine Frazier
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
|
|
X
|
|
|
Signatures
|
Holli H. Lewis, Attorney in Fact for Catherine Frazier Joy
|
|
7/31/2008
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Aug 2024 to Sep 2024
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Sep 2023 to Sep 2024