- Statement of Changes in Beneficial Ownership (4)
15 January 2013 - 10:51AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Holland Augusta Brown
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2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA, BFB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
850 DIXIE HWY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/11/2012
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(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common
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12/24/2012
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G
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V
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61983
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D
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$0
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557374
(1)
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D
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Class A Common
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2500
(2)
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I
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Spouse
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Class A Common
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18867
(3)
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I
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GRAT
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Class A Common
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18
(4)
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I
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Eleanor Lee Trusts
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Class A Common
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316837
(5)
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I
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Hebe Three Limited Partnership
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Class A Common
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12/26/2012
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G
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V
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14416
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A
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$0
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16159
(6)
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I
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Trust fbo Owsley Brown III
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Class A Common
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49257
(7)
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I
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Longview Charitable LP
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Class A Common
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3297
(8)
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I
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Trust fbo child
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Class A Common
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2256
(9)
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I
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Trust fbo child
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Class A Common
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2256
(10)
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I
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Trust fbo child
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Class A Common
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12/24/2012
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G
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V
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61983
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A
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$0
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69532
(11)
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I
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Trust fbo Children
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Class A Common
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1470
(12)
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I
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Trust fbo Barzun children
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Class A Common
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20439
(13)
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I
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Trust fbo Augusta Holland
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Class A Common
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225000
(14)
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I
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Cherokee Horatio Ltd.
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Class A Common
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44301
(15)
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I
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Birdnest 2006 Ltd.
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Class A Common
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3330115
(17)
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I
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Olympus Three, LLC
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Class B Common
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7/11/2012
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W
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V
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12
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A
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$0
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116385
(16)
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D
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Class B Common
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12/24/2012
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G
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V
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84870
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D
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$0
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31515
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D
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Class B Common
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574
(18)
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I
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Spouse
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Class B Common
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1980
(19)
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I
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Owsley Brown II IRA
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Class B Common
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39447
(20)
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I
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CLB Grandchildren Eq. Tr.
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Class B Common
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12895
(21)
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I
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Eleanor Lee Trusts
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Class B Common
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546
(22)
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I
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Hebe Exempt Trust
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Class B Common
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215284
(23)
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I
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Hebe Three Limited Partnership
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Class B Common
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8/20/2012
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W
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V
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192223
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D
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$0
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0
(24)
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I
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Hebe Non-Exempt Trust
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Class B Common
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8/20/2012
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W
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V
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64075
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A
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$0
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64075
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I
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Hebe Trust fbo Augusta Holland
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Class B Common
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12/19/2012
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G
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V
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43470
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D
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$0
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20605
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I
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Hebe Trust fbo Augusta Holland
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Class B Common
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19200
(25)
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I
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Longview Charitable LP
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Class B Common
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12/26/2012
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G
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V
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89136
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A
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$0
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95299
(26)
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I
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Trust fbo Owsley Brown III
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Class B Common
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910
(27)
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I
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Trust fbo child
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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On August 10, 2012, the Class A and Class B common stock of Brown-Forman Corporation split 3-2, resulting in the reporting person's acquisition of 206,452 additional shares of common stock.
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(
2)
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Includes additional 833 Class A shares issued in the August 2012 stock split.
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(
3)
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Includes additional 6289 Class A shares issued in the August 2012 stock split.
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(
4)
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Includes additional 6 Class A shares issued in the August 2012 stock split.
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(
5)
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Includes additional 105,612 Class A shares issued in the August 2012 stock split.
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(
6)
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Includes additional 581 Class A shares issued in the August 2012 stock split.
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(
7)
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Includes additional 16,419 Class A shares issued in the August 2012 stock split.
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(
8)
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Includes additional 1,099 Class A shares issued in the August 2012 stock split.
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(
9)
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Includes additional 752 Class A shares issued in the August 2012 stock split.
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(
10)
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Includes additional 752 Class A shares issued in the August 2012 stock split.
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(
11)
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Includes additional 2,516 Class A shares issued in the August 2012 stock split.
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(
12)
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Includes additional 490 Class A shares issued in the August 2012 stock split.
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(
13)
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Includes additional 6,813 Class A shares issued in the August 2012 stock split.
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(
14)
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Includes additional 75,000 Class A shares issued in the August 2012 stock split.
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(
15)
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Includes additional 14,767 Class A shares issued in the August 2012 stock split.
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(
16)
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Includes additional 38,795 Class B shares issued in the August 2012 stock split.
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(
17)
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Includes additional 1,110,038 Class A shares issued in the August 2012 stock split.
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(
18)
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Includes additional 191 Class B shares issued in the August 2012 stock split.
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(
19)
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Includes additional 660 Class B shares issued in the August 2012 stock split.
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(
20)
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Includes additional 13,149 Class B shares issued in the August 2012 stock split.
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(
21)
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Includes additional 4,298 Class B shares issued in the August 2012 stock split.
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(
22)
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Includes additional 182 Class B shares issued in the August 2012 stock split.
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(
23)
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Includes additional 71,761 Class B shares issued in the August 2012 stock split.
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(
24)
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Includes additional 64,074 Class B shares issued in the August 2012 stock split.
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(
25)
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Includes additional 6,400 Class B shares issued in the August 2012 stock split.
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(
26)
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Includes additional 2,054 Class B shares issued in the August 2012 stock split.
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(
27)
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Includes additional 303 Class B shares issued in the August 2012 stock split.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Holland Augusta Brown
850 DIXIE HWY
LOUISVILLE, KY 40210
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X
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Signatures
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Diane M. Barhorst, Atty in Fact for Augusta Brown Holland
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1/14/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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