Statement of Changes in Beneficial Ownership (4)
September 03 2014 - 1:13PM
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
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Brown George Garvin IV
|
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BF'B
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive Vice President
|
(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/29/2014
|
(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
|
8/29/2014
|
|
J
(1)
|
|
21.0000
|
A
|
$90.8400
|
135635.0000
|
D
|
|
Class A Common
|
8/29/2014
|
|
J
(1)
|
|
21.0000
|
D
|
$90.8400
|
0.0000
|
I
|
By G. Garvin Brown III Estate
|
Class B Common
|
8/29/2014
|
|
J
(2)
|
|
2746.0000
|
D
|
$91.5200
|
0.0000
|
I
|
By G. Garvin Brown III Estate
|
Class B Common
|
8/29/2014
|
|
J
(2)
|
|
2746.0000
|
A
|
$91.5200
|
2746.0000
|
I
|
CBGB LLC
|
Class B Common
|
|
|
|
|
|
|
|
271021.0000
|
D
|
|
Class A Common
|
|
|
|
|
|
|
|
5090.0000
|
I
|
2010 GRAT
|
Class B Common
|
|
|
|
|
|
|
|
17418.0000
|
I
|
2010 GRAT
|
Class A Common
|
|
|
|
|
|
|
|
88434.0000
|
I
|
2012 GRAT
|
Class B Common
|
|
|
|
|
|
|
|
12218.4220
|
I
|
By 401k
|
Class A Common
|
|
|
|
|
|
|
|
7346.0000
|
I
|
Crummey Trust
|
Class B Common
|
|
|
|
|
|
|
|
2269.0000
|
I
|
Crummey Trust
|
Class A Common
|
|
|
|
|
|
|
|
4220.0000
|
I
|
GGB IV CLAT
|
Class A Common
|
|
|
|
|
|
|
|
529554.0000
|
I
|
GGB4 2010 #1 LP
|
Class A Common
|
|
|
|
|
|
|
|
496.0000
|
I
|
GGB4 2010#2 LLC
|
Class B Common
|
|
|
|
|
|
|
|
78300.0000
|
I
|
GGB4 2010#2 LLC
|
Class A Common
|
|
|
|
|
|
|
|
2580235.5000
|
I
|
GGB4 2012 LP
|
Class B Common
|
|
|
|
|
|
|
|
255168.0000
|
I
|
GGB4 2012 LP
|
Class A Common
|
|
|
|
|
|
|
|
6071.0000
|
I
|
Spouse's 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
|
Restricted Stock Units
|
(3)
|
|
|
|
|
|
|
4/30/2015
(4)
|
(4)
|
Class B Common
|
3312.0000
|
|
3312.0000
|
D
|
|
Restricted Stock Units
|
(3)
|
|
|
|
|
|
|
4/30/2016
(5)
|
(5)
|
Class B Common
|
3124.0000
|
|
3124.0000
|
D
|
|
Restricted Stock Units
|
(3)
|
|
|
|
|
|
|
4/30/2017
(6)
|
(6)
|
Class B Common
|
3936.0000
|
|
3936.0000
|
D
|
|
Restricted Stock Units
|
(3)
|
|
|
|
|
|
|
4/30/2018
(7)
|
(7)
|
Class B Common
|
3426.0000
|
|
3426.0000
|
D
|
|
Stock Appreciation Right
|
$28.5800
|
|
|
|
|
|
|
5/1/2008
|
4/30/2015
|
Class B Common
|
1068.0000
|
|
1068.0000
|
D
|
|
Stock Appreciation Right
|
$34.9500
|
|
|
|
|
|
|
5/1/2009
|
4/30/2016
|
Class B Common
|
1467.0000
|
|
1467.0000
|
D
|
|
Stock Appreciation Right
|
$33.7600
|
|
|
|
|
|
|
5/1/2010
|
4/30/2017
|
Class B Common
|
1679.0000
|
|
1679.0000
|
D
|
|
Stock Appreciation Right
|
$35.5100
|
|
|
|
|
|
|
5/1/2011
|
4/30/2018
|
Class B Common
|
1542.0000
|
|
1542.0000
|
D
|
|
Stock Appreciation Right
|
$27.0500
|
|
|
|
|
|
|
5/1/2012
|
4/30/2019
|
Class B Common
|
4714.0000
|
|
4714.0000
|
D
|
|
Explanation of Responses:
|
(
1)
|
Represents transfer of shares from an estate for which the reporting person serves as executor to the reporting person's direct holdings, with the stock closing price on August 28, 2014 used to determine the value of the transaction.
|
(
2)
|
Represents transfer of shares from an estate for which the reporting person serves as executor to a limited liability company in which the reporting person has pecuniary interest, with the stock closing price on August 28, 2014 used to determine the value of the transaction.
|
(
3)
|
Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
|
(
4)
|
The Restricted Stock Units were granted on July 28, 2011, and vest April 30, 2015.
|
(
5)
|
The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
|
(
6)
|
The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
|
(
7)
|
The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Brown George Garvin IV
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
|
X
|
|
Executive Vice President
|
|
Signatures
|
Kelly Bowen, Atty. in Fact for George Garvin Brown IV
|
|
9/3/2014
|
**
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 Jun 2024 to Jul 2024
Brown Forman (NYSE:BF.B)
Historical Stock Chart
From Jul 2023 to Jul 2024