Statement of Changes in Beneficial Ownership (4)
11 März 2015 - 10:00PM
Edgar (US Regulatory)
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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
*
Holland Augusta Brown
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2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BF'B
]
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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 HIGHWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/24/2012
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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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7/25/2014
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G
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V
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929.0000
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D
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$0.0000
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514579.0000
(1)
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D
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Class A Common
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12/3/2014
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G
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V
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151.0000
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A
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$0.0000
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516980.0000
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D
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Class B Common
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12/3/2014
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G
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V
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151.0000
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A
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$0.0000
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2356.0000
(2)
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I
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By Spouse
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Class B Common
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12/24/2012
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G
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V
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146786.0000
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A
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$0.0000
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146786.0000
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I
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Trust fbo Barzun Children
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Class A Common
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12/5/2013
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G
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V
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1135.0000
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A
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$0.0000
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2605.0000
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I
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Trust fbo Barzun Children
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Class A Common
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7/25/2014
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G
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V
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929.0000
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A
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$0.0000
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3534.0000
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I
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Trust fbo Barzun Children
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Class A Common
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9/17/2014
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G
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V
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1350.0000
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A
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$0.0000
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126089.0000
(3)
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I
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Trust fbo Barzun Children
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Class B Common
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9/17/2014
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G
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V
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336.0000
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A
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$0.0000
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174280.0000
(3)
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I
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Trust fbo Barzun Children
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Class A Common
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12/3/2014
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G
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V
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151.0000
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A
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$0.0000
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3658.0000
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I
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Trust fbo Child-1
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Class A Common
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12/3/2014
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G
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V
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151.0000
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A
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$0.0000
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2617.0000
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I
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Trust fbo Child-2
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Class A Common
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12/3/2014
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G
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V
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151.0000
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A
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$0.0000
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2617.0000
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I
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Trust fbo Child-3
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Class A Common
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7/25/2014
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G
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V
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929.0000
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A
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$0.0000
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115000.0000
(4)
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I
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Trust fbo Children
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Class A Common
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8/16/2014
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G
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V
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477.0000
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A
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$0.0000
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16846.0000
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I
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Trust fbo Owsley Brown III
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Class B Common
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8/16/2014
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G
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V
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186.0000
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A
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$0.0000
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95485.0000
(5)
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I
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Trust fbo Owsley Brown III
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Class B Common
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31431.0000
(1)
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D
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Class A Common
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2250.0000
(6)
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I
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By Spouse
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Class A Common
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196272.0000
(7)
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I
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CLB Grandchildren Eq. Tr.
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Class B Common
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122685.0000
(7)
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I
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CLB Grandchildren Eq. Tr.
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Class A Common
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8587.0000
(8)
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I
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Driftwood Holding Three LLC
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Class B Common
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452164.0000
(8)
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I
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Driftwood Holding Three LLC
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Class A Common
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18.0000
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I
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Eleanor Lee Trusts
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Class B Common
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12895.0000
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I
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Eleanor Lee Trusts
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Class B Common
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253176.0000
(9)
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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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546.0000
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I
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Hebe Exempt Trust
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Class A Common
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316837.0000
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I
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Hebe Three Limited Partnership
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Class B Common
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215284.0000
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I
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Hebe Three Limited Partnership
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Class B Common
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20605.0000
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I
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Hebe Trust fbo Augusta Holland
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Class B Common
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959.0000
(10)
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I
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Holland Family Trust
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Class A Common
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3330115.0000
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I
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Olympus Three LLC
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Class B Common
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6703641.0000
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I
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Olympus Three 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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Explanation of Responses:
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(
1)
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Total has been adjusted to reflect (1) the pro rata distribution of all shares from Longview LP and Longview Charitable LP to their respective partners; and (2) the pro rata distribution of all shares held by Cherokee Horatio Ltd., to its partners.
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(
2)
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Total has been adjusted (1) to correct a prior mathematical error; and (2) to reflect the pro rata distribution of all shares held by Cherokee Horatio Ltd., to its partners.
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(
3)
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Total has been adjusted to reflect (1) the pro rata distribution of all shares held by Hackberry LP to its partners; and (2) the pro rata distribution of all shares held by Hackberry 2007 LP to its partners.
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(
4)
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Total has been adjusted to reflect the pro rata distribution of all shares held by Birdnest 2006 Ltd, to its partners.
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(
5)
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Adjusted to correct prior mathematical error.
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(
6)
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Total has been adjusted to reflect the pro rata distribution of all shares held by Cherokee Horatio Ltd., to its partners.
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(
7)
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Total has been adjusted to reflect the pro rata distribution of all shares held by Longview LP and Longview Charitable LP to their respective partners. Holdings of Owsley Brown II IRA have been omitted to reflect the undersigned's withdrawal from an advisory position over such shares.
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(
8)
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Reflects the reporting person's appointment as one of three advisors to a member of this entity.
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(
9)
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The reporting person serves as one of three advisors to this estate.
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(
10)
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Updated to correct rounding error.
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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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Holland Augusta Brown
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
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X
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Signatures
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Kelly A. Bowen, Attorney in Fact for Augusta Brown Holland
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3/11/2015
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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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