Brown Martin S JR 4

Accession 0000014693-13-000006

CIK 0000014693other

View on SEC.gov Company Profile

Filed

Jan 13, 7:00 PM ET

Accepted

Jan 14, 6:49 PM ET

Size

30.5 KB

Accession

0000014693-13-000006

Insider Transaction Report

Form 4

Period: 2012-12-31

BROWN FORMAN CORPBFA/BFB

Brown Martin S JR

Director

Transactions

Gift
Class B Common
2012-12-31+42,556→ 42,556 total(indirect: By LLC)
Gift
Class B Common
2012-12-31−42,556→ 0 total

Holdings

Class A Common
(indirect: By Spouse)
45
Class A Common
(indirect: By Children)
8,262
Class A Common
(indirect: By Trust)
2,250
Class A Common
(indirect: By Children)
2,523
Stock Appreciation Right
Exercise: $33.77From: 2007-07-26Exp: 2017-04-30→ Class B Common (5,987 underlying)
5,987
Stock Appreciation Right
Exercise: $35.51From: 2008-07-24Exp: 2018-04-30→ Class B Common (5,495 underlying)
5,495
Class A Common
279,510
Class B Common
(indirect: By Children)
3,753
Stock Appreciation Right
Exercise: $27.05From: 2009-07-23Exp: 2019-04-30→ Class B Common (6,752 underlying)
6,752
Deferred Stock Units
→ Class B Common (1,655.67 underlying)
1,655.67
Class B Common
(indirect: By Spouse)
10
Class B Common
(indirect: By Children)
1,192
Stock Appreciation Right
Exercise: $36.40From: 2006-05-25Exp: 2015-04-30→ Class B Common (761 underlying)
761
Class B Common
(indirect: By Trust)
562
Class B Common
(indirect: By Trust)
25,146
Stock Appreciation Right
Exercise: $34.95From: 2006-07-27Exp: 2016-04-30→ Class B Common (4,819 underlying)
4,819

Footnotes (21)

[F1]On December 31, 2012, the reporting person transferred directly held shares to Atkinson Hill, LLC, of which he was sole member, and on the same day gifted a 99% interest in the LLC to a family trust. The reporting person disclaims beneficial ownership of the LLC except to the extent of his pecuniary interest therein.
[F10]Includes 1,251 additional Class B shares of common stock issued in the August stock split.
[F11]Includes 397 additional Class B shares of common stock issued in the August stock split.
[F12]Includes 8,382 additional Class B shares of common stock issued in the August stock split.
[F13]These stock appreciation rights were previously reported as covering 477 shares at an exercise price of $58.00, but were adjusted to reflect the August 2012 stock split.
[F14]These stock appreciation rights were previously reported as covering 3,023 shares at an exercise price of $55.69, but were adjusted to reflect the August 2012 stock split.
[F15]These stock appreciation rights were previously reported as covering 3,756 shares at an exercise price of $53.80, but were adjusted to reflect the August 2012 stock split.
[F16]These stock appreciation rights were previously reported as covering 3,447 shares at an exercise price of $56.58, but were adjusted to reflect the August 2012 stock split.
[F17]These stock appreciation rights were previously reported as covering 4,236 shares at an exercise price of $43.10, but were adjusted to reflect the August 2012 stock split.
[F18]Each deferred stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
[F19]The deferred stock units vest over the course of the Board year. Vested shares will be delivered to the reporting person on the first February 1st that is at least 6 months following the Director's termination from Board service.
[F2]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 93,170 additional shares of Class A common stock.
[F20]Includes additional Class B shares of common stock issued in the August stock split.
[F21]All outstanding derivative security amounts and exercise prices were adjusted on December 27, 2012, the record date for the Issuer's December 12, 2012 special cash dividend.
[F3]Includes 15 additional Class A shares of common stock issued in the August stock split.
[F4]Includes 750 additional Class A shares of common stock issued in the August stock split.
[F5]Includes 2,754 additional Class A shares of common stock issued in the August stock split.
[F6]Includes 841 additional Class A shares of common stock issued in the August stock split.
[F7]Includes 14,185 additional Class B shares of common stock issued in the August stock split.
[F8]Includes 3 additional Class B shares of common stock issued in the August stock split.
[F9]Includes 187 additional Class B shares of common stock issued in the August stock split.

Documents

2 files

Issuer

BROWN FORMAN CORP

CIK 0000014693

→

Entity typeother

Related Parties

filerCIK 0001362521

Filing Metadata

Form type: 4
Filed: Jan 13, 7:00 PM ET
Accepted: Jan 14, 6:49 PM ET
Size: 30.5 KB

View on SEC.gov