Brown Christina Lee 4

Accession 0000014693-13-000003

CIK 0000014693other

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 4:45 PM ET

Size

30.1 KB

Accession

0000014693-13-000003

Form 4

Period: 2012-12-31

10% Owner

Transactions

Gift
Class A Common
2012-12-31−1,251,558→ 1,277,100 total(indirect: By LLC)
Sale
Class B Common
2012-12-31$62.46/sh−44,251$2,763,917→ 0 total(indirect: By LLC)
Sale
Class A Common
2012-12-31$61.26/sh−2,002,581$122,668,099→ 3,330,114 total(indirect: By LLC)
Sale
Class A Common
2012-12-31$61.26/sh−840$51,454→ 0 total(indirect: By LLC)
Sale
Class A Common
2012-12-31$61.26/sh−1,499$91,821→ 0 total(indirect: Longview LP)
Sale
Class B Common
2012-12-31$62.46/sh−4,031,268$251,792,999→ 6,703,641 total(indirect: By LLC)
Sale
Class A Common
2012-12-31$61.26/sh−2,418$148,115→ 0 total(indirect: Guilford-Brown LP)
Sale
Class B Common
2012-12-31$62.46/sh−652$40,724→ 0 total(indirect: Longview LP)
Gift
Class B Common
2012-12-31−336,728→ 343,600 total(indirect: By LLC)

Holdings

Class B Common
(indirect: By IRA)
1,980
Non-Qualified Stock Option (right to buy)
Exercise: $22.49From: 2007-05-01Exp: 2014-04-30→ Class B Common (131,303 underlying)
131,303
Stock Appreciation Right
Exercise: $33.65From: 2007-11-15Exp: 2015-07-24→ Class B Common (5,311 underlying)
5,311
Class A Common
257,700
Class A Common
(indirect: Owsley Brown II 1994 GRAT)
504,775
Class B Common
(indirect: Owsley Brown II 1994 GRAT)
126,193
Class A Common
(indirect: By Trust)
67,714
Class B Common
64,189
Class B Common
(indirect: Estate of Owsley Brown II)
253,176

Footnotes (3)

[F1]The reporting person was appointed administrator of the Estate of Owsley Brown II in October 2011. On 12/21/12, the Estate distributed to the reporting person a 64.59% interest in Olympus Three, LLC, in which the reporting person had previously reported a pecuniary interest. On 12/31/12, in a series of nearly simultaneous transactions, the Estate transferred a .3265% interest in Guiford-Brown LP, a 9.79% interest in Driftwood Holding Three LLC and a 1% interest in Longview LP to the Owsley Brown Marital Trust, which transferred them to the reporting person, who then sold them and a 60.14% interest in Olympus Three LLC to a family trust in which the reporting person has no pecuniary interest. Following these transactions, neither the Estate nor the reporting person has a pecuniary interest in Guilford-Brown LP, Driftwood Holding Three LLC or Longview LP, but the reporting person continues to have a pecuniary interest in Olympus Three LLC.
[F2]The reporting person disclaims beneficial ownership of all entities set forth in this form except to the extent of her pecuniary interest therein.
[F3]On 12/31/12, the reporting person gifted a 98% interest in Polaris LLC to a charitable lead annuity trust in which she has no pecuniary interest.

Documents

2 files

BROWN FORMAN CORP

CIK 0000014693

Entity typeother