- Statement of Ownership (SC 13G)
10 Mai 2012 - 10:45PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
BROWN-FORMAN
CORPORATION
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
115637-10-0
(CUSIP Number)
April 30, 2012
(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed.
¨
Rule 13d-1(b)
x
Rule 13d-1(c)
¨
Rule 13d-1(d)
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(1)
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Names of reporting persons
I.R.S. Identification
Nos. of above persons (entities only)
W.L. Lyons Brown
III
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(2)
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Check the appropriate box if a
member of a group (see instructions)
(a)
(b)
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
United States of America
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
464
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(6)
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Shared voting power
2,869,020
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(7)
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Sole dispositive power
464
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(8)
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Shared dispositive power
2,869,020
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(9)
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Aggregate amount beneficially owned by each reporting person
2,869,484
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares (see instructions).
N/A
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(11)
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Percent of class represented by
amount in Row (9)
5.1%
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(12)
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Type of reporting person (see
instructions)
IN
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Brown-Forman Corporation
850 Dixie Highway
Louisville, Kentucky 40210
a) Name:
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W.L. Lyons Brown III
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b) Principal Business address:
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657 South Hurstbourne Parkway, #228
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Louisville, Kentucky
40222
c) United States of America
d) Brown-Forman Corporation Class A Common Stock
e) 0115637-10-0
Item 3.
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
(f) [ ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
(g) [ ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
(h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
(i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act
of 1940 (15 U.S.C. 80a-3).
(j) [ ] Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
The number of
shares beneficially owned by the undersigned as of April 30, 2012, is as follows:
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Aggregate
Number
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(a)
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Beneficially Owned
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2,869,484
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(b)
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Percent of Class
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5.1
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%
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(c)
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Sole Voting Power
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464
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Shared Voting Power
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2,869,020
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Sole Disposition Power
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464
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Shared Disposition Power
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2,869,020
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the
following [ ].
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Other individuals have the right to receive dividends and the proceeds of sale from certain shares for which the undersigned has either sole or shared voting and dispositional control.
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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N/A
Item 8.
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Identification and Classification of Members of the Group.
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N/A
Item 9.
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Notice of Dissolution of Group.
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N/A
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities
and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Date: May 10, 2012
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/s/ Laura H. Pulliam
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W.L. Lyons Brown III, by Laura H. Pulliam,
Attorney-in-Fact, pursuant to Power of Attorney dated May 7, 2012
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POWER OF ATTORNEY
The undersigned does hereby constitute and appoint each of Nelea A. Absher, Holli H. Lewis, Diane M. Barhorst, and Laura H. Pulliam, signing singly, the undersigneds true and lawful attorney-in-fact
to:
1.
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prepare, execute and file, for and on behalf of the undersigned, Form ID, Forms 3, 4 and 5 (including amendments thereto) in accordance with Section 16(a) of the
Securities Exchange Act of 1934 (the Act) and the rules thereunder, and Schedules 13D and 13G (including amendments thereto) in accordance with Sections 13(d) and 13(g) of the Act and the rules thereunder;
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2.
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do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to prepare and execute any such Form 3, 4 or 5 (including
amendments thereto) or Schedule 13D or 13G (including amendments thereto) and timely file that Form or Schedule with the United States Securities and Exchange Commission and any stock exchange or similar authority, and provide a copy as required by
law or advisable to such persons as the attorney-in-fact deems appropriate; and
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3.
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take any other action of any type whatsoever in connection with the foregoing that, in the opinion of the attorney-in-fact, may be of benefit to, in the best interest
of, or legally required of the undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as
the attorney-in-fact may approve in the attorney-in-facts discretion.
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The undersigned hereby grants to each such
attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that the attorney-in-fact, or the attorney-in-facts substitute or substitutes, shall lawfully do or cause
to be done by virtue of this Power of Attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing
attorneys-in-fact, and their substitutes, in serving in such capacity at the request of the undersigned, are not assuming, nor is Brown-Forman Corporation (the Corporation) assuming, (i) any of the undersigneds
responsibilities to comply with Section 16 or Sections 13(d) or 13(g) of the Act or (ii) any liability of the undersigned for failure to comply with such requirements. This Power of Attorney does not relieve the undersigned from the
undersigneds obligations to comply with the requirements of the Act, including without limitation the reporting requirements under Section 16 or Sections 13(d) or 13(g) thereunder. The undersigned agrees that each such attorney-in-fact
may rely entirely on information furnished orally or in writing by or at the direction of the undersigned to the attorney-in-fact.
This Power
of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 and Schedules 13D and 13G with respect to the undersigneds holdings of and transactions in securities issued by the
Corporation, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact. This Power of Attorney does not revoke any other power of attorney that the undersigned has previously granted.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this
7th
day of
May
, 2012.
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/s/ W. L. Lyons Brown III
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W.L. LYONS BROWN III
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