Statement of Changes in Beneficial Ownership (4)
September 09 2014 - 3:57PM
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 J McCauley
|
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BF'B
]
|
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)
9/8/2014
|
(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
|
9/8/2014
|
|
P
|
|
1500.0000
|
A
|
$90.9920
|
7625.0000
|
I
|
By Spouse Irrev Trust
|
Class A Common
|
|
|
|
|
|
|
|
5952.0000
|
D
|
|
Class B Common
|
|
|
|
|
|
|
|
60981.0000
|
D
|
|
Class B Common
|
|
|
|
|
|
|
|
6200.5800
|
I
|
By 401k
|
Class A Common
|
|
|
|
|
|
|
|
918532.0000
|
I
|
By Brown Ventures, LLC
|
Class B Common
|
|
|
|
|
|
|
|
113856.0000
|
I
|
By Brown Ventures, LLC
|
Class A Common
|
|
|
|
|
|
|
|
6907.0000
|
I
|
By Children
|
Class B Common
|
|
|
|
|
|
|
|
589.0000
|
I
|
By Children
|
Class A Common
|
|
|
|
|
|
|
|
181940.0000
|
I
|
By JMB Irrev Trust
|
Class A Common
|
|
|
|
|
|
|
|
176898.0000
|
I
|
By MAE LLC
|
Class A Common
|
|
|
|
|
|
|
|
86.0000
|
I
|
By Spouse
|
Class B Common
|
|
|
|
|
|
|
|
11314.0000
|
I
|
By Spouse
|
Class A Common
|
|
|
|
|
|
|
|
3925.0000
|
I
|
By Spray Trust
|
Class A Common
|
|
|
|
|
|
|
|
1000.0000
|
I
|
Crummey Trust
|
Class A Common
|
|
|
|
|
|
|
|
141908.0000
|
I
|
Spouse GRAT
|
Class A Common
|
|
|
|
|
|
|
|
14349.0000
|
I
|
Williams 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
|
(1)
|
|
|
|
|
|
|
4/30/2015
(2)
|
(2)
|
Class B Common
|
778.0000
|
|
778.0000
|
D
|
|
Restricted Stock Units
|
(1)
|
|
|
|
|
|
|
4/30/2016
(3)
|
(3)
|
Class B Common
|
254.0000
|
|
254.0000
|
D
|
|
Restricted Stock Units
|
(1)
|
|
|
|
|
|
|
4/30/2017
(4)
|
(4)
|
Class B Common
|
212.0000
|
|
212.0000
|
D
|
|
Restricted Stock Units
|
(1)
|
|
|
|
|
|
|
4/30/2018
(5)
|
(5)
|
Class B Common
|
171.0000
|
|
171.0000
|
D
|
|
Explanation of Responses:
|
(
1)
|
Each Restricted Stock Unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
|
(
2)
|
The Restricted Stock Units were granted on July 28, 2011, and vest April 30, 2015.
|
(
3)
|
The Restricted Stock Units were granted on July 26, 2012, and vest April 30, 2016.
|
(
4)
|
The Restricted Stock Units were granted on July 25, 2013, and vest April 30, 2017.
|
(
5)
|
The Restricted Stock Units were granted on July 24, 2014, and vest April 30, 2018.
|
Remarks:
The reporting person disclaims beneficial ownership of shares held by entities set forth in this form except to the extent of his pecuniary interest therein.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Brown J McCauley
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
|
|
X
|
|
|
Signatures
|
Kelly Bowen, Attorney in Fact for J. McCauley Brown
|
|
9/9/2014
|
**
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