- Statement of Changes in Beneficial Ownership (4)
31 Dezember 2012 - 9:10PM
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
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Brown Christina Lee
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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)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
850 DIXIE HWY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/27/2012
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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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257700
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D
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Class A Common
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504775
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I
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Owsley Brown II 1994 GRAT
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Class A Common
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67714
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I
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Trust u/a Owsley Brown III
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Class A Common
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12/27/2012
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G
(1)
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V
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816126
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D
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(1)
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0
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I
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Owsley Brown II 2001 GRAT
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Class A Common
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12/27/2012
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G
(1)
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V
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297048
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D
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(1)
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0
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I
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Owsley Brown II 2002 GRAT
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Class A Common
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12/27/2012
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G
(1)
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V
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1113174
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A
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(1)
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1277100
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I
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Estate of Owsley Brown II
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Class A Common
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12/27/2012
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J
(2)
(3)
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1113174
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D
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(2)
(3)
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163926
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I
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Estate of Owsley Brown II
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Class A Common
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12/27/2012
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J
(2)
(3)
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1113174
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A
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(2)
(3)
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1113174
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I
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Polaris LLC
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Class A Common
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12/30/2012
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J
(2)
(3)
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126544
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D
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(2)
(3)
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3300114
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I
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Olympus Three LLC
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Class A Common
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12/30/2012
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J
(2)
(3)
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126544
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A
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(2)
(3)
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3330114
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I
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Olympus Three, LLC
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Class A Common
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12/31/2012
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J
(2)
(3)
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163926
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D
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(2)
(3)
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0
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I
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Estate of Owsley Brown II
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Class A Common
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12/31/2012
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J
(2)
(3)
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163926
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A
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(2)
(3)
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1277100
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I
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Polaris LLC
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Class B Common
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64189
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D
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Class B Common
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1980
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I
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Owsley Brown II IRA
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Class B Common
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126193
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I
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Owsley Brown II 1994 GRAT
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Class B Common
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12/27/2012
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G
(1)
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V
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210723
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D
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(1)
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0
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I
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Owsley Brown II 2001 GRAT
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Class B Common
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12/27/2012
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G
(1)
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V
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78964
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D
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(1)
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0
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I
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Owsley Brown II 2002 GRAT
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Class B Common
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12/27/2012
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G
(1)
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V
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289687
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A
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(2)
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596776
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I
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Estate of Owsley Brown II
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Class B Common
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12/27/2012
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J
(2)
(3)
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289687
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D
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(2)
(3)
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307089
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I
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Estate of Owsley Brown II
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Class B Common
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12/27/2012
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J
(2)
(3)
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289687
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A
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(2)
(3)
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289687
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I
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Polaris LLC
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Class B Common
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12/30/2012
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J
(2)
(3)
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254738
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D
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(2)
(3)
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6703641
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I
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Olympus Three LLC
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Class B Common
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12/30/2012
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J
(2)
(3)
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254738
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A
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(2)
(3)
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6703641
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I
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Olympus Three LLC
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Class B Common
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12/31/2012
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J
(2)
(3)
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53913
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D
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(2)
(3)
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253176
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I
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Estate of Owsley Brown II
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Class B Common
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12/31/2012
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J
(2)
(3)
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53913
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A
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(2)
(3)
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343600
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I
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Polaris LLC
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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)
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$22.49
(4)
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5/1/2007
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4/30/2014
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Class B Common
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131303
(4)
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131303
(4)
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D
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Stock Appreciation Right
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$33.65
(4)
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11/15/2007
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7/24/2015
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Class B Common
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5311
(4)
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5311
(4)
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D
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Explanation of Responses:
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(
1)
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On December 27, 2012, the Owsley Brown II 2001 GRAT and Owsley Brown II 2002 GRAT terminated and delivered their shares to the Estate of Owsley Brown II. The reporting person was appointed administrator of the Estate in October 2011, and disclaims beneficial ownership of the shares held by the Estate except to the extent of her pecuniary interest therein.
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(
2)
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On December 27, 2012, in a series of nearly simultaneous transactions, the Estate of Owsley Brown II transferred shares to the Owsley Brown Marital Trust, which transferred them to the reporting person, who transferred them to Polaris LLC. In a similar series of transactions on December 30, 2012, the Estate transferred a 3.8% interest in Olympus Three LLC to the Marital Trust, which transferred it to the reporting person, who transferred it to Polaris LLC. Finally, in a similar series of transactions on December 31, 2012, the Estate transferred 151,155 Class A shares and 50, 477 Class B shares to the Marital Trust, which transferred them to the reporting person, who transferred them to Polaris LLC. Also on December 31, 2012, the Estate transferred 12,771 Class A shares and 3,436 Class B shares directly to Polaris LLC.
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(
3)
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The reporting person continued to have a pecuniary interest in the shares throughout these transactions, but disclaims beneficial ownership of the shares held by Polaris LLC and by Olympus Three except to the extent of such interest.
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(
4)
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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.
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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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Brown Christina Lee
850 DIXIE HWY
LOUISVILLE, KY 40210
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X
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Signatures
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Diane M. Barhorst, Atty in Fact for Christina Lee Brown
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1/31/2013
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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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