- Statement of Changes in Beneficial Ownership (4)
10 Juni 2011 - 8:27PM
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
Expires:
February 28, 2011
Estimated average burden
hours per response...
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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
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1. Name and Address of Reporting Person
*
MAYER RICHARD P
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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)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2011
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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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6000
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D
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Class B Common
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6/8/2011
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M
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4085
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A
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$24.70
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15252
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D
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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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Non-Qualified Stock Option (right to buy)
(1)
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$24.70
(2)
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6/8/2011
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M
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4085
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5/1/2002
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4/30/2012
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Class B Common
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4085
(2)
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$0
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0
(2)
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D
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Non-Qualified Stock Option (right to buy)
(1)
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$30.18
(3)
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7/24/2003
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4/30/2013
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Class B Common
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3923
(3)
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3923
(3)
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D
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Non-Qualified Stock Option (right to buy)
(1)
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$35.83
(4)
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7/22/2004
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4/30/2014
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Class B Common
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3053
(4)
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3053
(4)
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D
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Stock Appreciation Right
(1)
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$45.53
(5)
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7/28/2005
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4/30/2015
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Class B Common
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3550
(5)
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3550
(5)
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D
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Stock Appreciation Right
(1)
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$55.69
(6)
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7/27/2006
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4/30/2016
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Class B Common
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3023
(6)
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3023
(6)
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D
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Stock Appreciation Right
(1)
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$53.80
(7)
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7/26/2007
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4/30/2017
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Class B Common
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3756
(7)
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3756
(7)
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D
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Stock Appreciation Right
(1)
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$56.58
(8)
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7/24/2008
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4/30/2011
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Class B Common
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3447
(8)
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3447
(8)
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D
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Stock Appreciation Right
(1)
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$43.10
(9)
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7/23/2009
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4/30/2019
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Class B Common
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7812
(9)
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7812
(9)
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D
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Stock Appreciation Right
(1)
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$61.24
(10)
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7/22/2010
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4/30/2020
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Class B Common
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3002
(10)
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3002
(10)
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D
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Deferred Stock Units
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(11)
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(12)
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(12)
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Class B Common
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1008.63
(13)
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1008.63
(13)
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D
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Explanation of Responses:
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(
1)
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All outstanding derivative security amounts and exercise prices were adjusted on December 10, 2010, the record date for the Issuer's December 28, 2010 special cash dividend.
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(
2)
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These option were previously reported as covering 4,027 shares at an exercise price of $25.06 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
3)
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These option were previously reported as covering 3,867 shares at an exercise price of $30.62 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
4)
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These option were previously reported as covering 3,009 shares at an exercise price of $36.35 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
5)
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These stock appreciation rights were previously reported as covering 3,499 shares at an exercise price of $46.19 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
6)
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These stock appreciation rights were previously reported as covering 2,980 shares at an exercise price of $56.50 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
7)
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These stock appreciation rights were previously reported as covering 3,702 shares at an exercise price of $54.58 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
8)
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These stock appreciation rights were previously reported as covering 3,398 shares at an exercise price of $57.40 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
9)
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These stock appreciation rights were previously reported as covering 7,700 shares at an exercise price of $43.72 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
10)
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These stock appreciation rights were previously reported as covering 2,959 shares at an exercise price of $62.13 per share, but were adjusted to reflect the December 28, 2010 special cash dividend.
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(
11)
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Each deferred stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
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(
12)
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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.
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(
13)
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The number of deferred stock units has been adjusted to reflect units issued as a result of the issuer's dividends.
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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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MAYER RICHARD P
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
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X
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Signatures
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Diane M. Barhorst, Attn. in Fact for: Richard P. Mayer
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6/10/2011
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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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