- Statement of Changes in Beneficial Ownership (4)
16 November 2010 - 10:54PM
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
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
BROWN OWSLEY II
|
2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA, BFB
]
|
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)
11/11/2010
|
|
(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
|
11/11/2010
|
|
J
(1)
|
|
1687
|
A
|
$0
|
120204
|
D
|
|
|
Class A Common
|
11/11/2010
|
|
J
(2)
|
|
5296
|
A
|
$0
|
125500
|
D
|
|
|
Class A Common
|
|
|
|
|
|
|
|
200032
|
I
|
Breeze Hill LP
|
|
Class A Common
|
|
|
|
|
|
|
|
336517
|
I
|
GRAT 1994
|
|
Class A Common
|
11/11/2010
|
|
J
(1)
|
|
1687
|
D
|
$0
|
19770
|
I
|
GRAT 2001
|
|
Class A Common
|
11/11/2010
|
|
J
(2)
|
|
524314
|
A
|
$0
|
544084
|
I
|
GRAT 2001
|
|
Class A Common
|
|
|
|
|
|
|
|
99964
|
I
|
Longview LP
|
|
Class A Common
|
11/11/2010
|
|
J
(2)
|
|
529610
|
D
|
$0
|
0
|
I
|
Poplar Terrace LP
|
|
Class A Common
|
|
|
|
|
|
|
|
1612
|
I
|
Guilford-Brown LP
|
|
Class A Common
|
|
|
|
|
|
|
|
3789
|
I
|
Nectar LP
|
|
Class A Common
|
|
|
|
|
|
|
|
438009
|
I
|
Ganymede LP
|
|
Class A Common
|
|
|
|
|
|
|
|
2113839
|
I
|
Olympus Three, LLC
|
|
Class A Common
|
|
|
|
|
|
|
|
173579
|
I
|
Spouse
|
|
Class B Common
|
11/11/2010
|
|
J
(2)
|
|
1419
|
A
|
$0
|
67905
|
D
|
|
|
Class B Common
|
|
|
|
|
|
|
|
53174
|
I
|
Breeze Hill LP
|
|
Class B Common
|
|
|
|
|
|
|
|
84129
|
I
|
GRAT 1994
|
|
Class B Common
|
11/11/2010
|
|
J
(2)
|
|
140482
|
A
|
$0
|
140842
|
I
|
GRAT 2001
|
|
Class B Common
|
|
|
|
|
|
|
|
26298
|
I
|
Equal Shares 2006, LP
|
|
Class B Common
|
|
|
|
|
|
|
|
43499
|
I
|
Longview, LP
|
|
Class B Common
|
11/11/2010
|
|
M
(2)
|
|
141901
|
D
|
$0
|
0
|
I
|
Poplar Terrace LP
|
|
Class B Common
|
|
|
|
|
|
|
|
947
|
I
|
Nectar
|
|
Class B Common
|
|
|
|
|
|
|
|
433236.25
|
I
|
Hebe, LP
|
|
Class B Common
|
|
|
|
|
|
|
|
3171
|
I
|
Hebe Non-Exempt Trust fbo Owsley Brown II
|
|
Class B Common
|
|
|
|
|
|
|
|
1092
|
I
|
Hebe Exempt Trust fbo Owsley Brown II
|
|
Class B Common
|
|
|
|
|
|
|
|
1276190
|
I
|
GANYMO Trust/Partnership
|
|
Class B Common
|
|
|
|
|
|
|
|
4070186
|
I
|
Olympus Three, LLC
|
|
Class B Common
|
|
|
|
|
|
|
|
43270
|
I
|
Spouse
|
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
|
|
Non_Qualified Stock Option (right to buy)
|
$26.67
|
|
|
|
|
|
|
5/1/2004
|
4/30/2011
|
Class B Common
|
80112
|
|
40000
|
D
|
|
|
Non-Qualified Stock Option (right to buy)
|
$25.06
|
|
|
|
|
|
|
5/1/2005
|
4/30/2012
|
Class B Common
|
101568
|
|
101568
|
D
|
|
|
Non-Qualified Stock Option (right to buy)
|
$30.62
|
|
|
|
|
|
|
5/1/2006
|
4/30/2013
|
Class B Common
|
101488
|
|
101488
|
D
|
|
|
Non-Qualified Stock Option (right to buy)
|
$36.35
|
|
|
|
|
|
|
5/1/2007
|
4/30/2014
|
Class B Common
|
81208
|
|
81208
|
D
|
|
|
Stock Appreciation Right
|
$54.40
|
|
|
|
|
|
|
11/15/2007
|
4/30/2017
|
Class B Common
|
3284
|
|
3284
|
D
|
|
|
Explanation of Responses:
|
|
(
1)
|
Represents quarterly distribution from GRAT.
|
|
(
2)
|
Represents liquidating distribution from Poplar Terrace, LP.
|
Remarks:
Filing of this form should not be construed as an admission that the filing person is, for purposes of Section 16 of the Securities Exchange Act of 1934, the "beneficial owner" of any equity securities held in a limited partnership or in trust and reported on this form.
|
Reporting Owners
|
|
Reporting Owner Name / Address
|
Relationships
|
|
Director
|
10% Owner
|
Officer
|
Other
|
BROWN OWSLEY II
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
|
|
X
|
|
|
Signatures
|
|
Diane M. Barhorst, Atty In Fact for: Owsley Brown II
|
|
11/16/2010
|
|
**
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
Von Jun 2024 bis Jul 2024
Brown Forman (NYSE:BF.B)
Historical Stock Chart
Von Jul 2023 bis Jul 2024
