Statement of Changes in Beneficial Ownership (4)
18 September 2015 - 9:21PM
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
*
Joy Catherine Frazier
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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 HIGHWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/20/2015
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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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7/20/2015
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W
(1)
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V
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1277720
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A
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$0.00
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9104152
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I
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Avish Agincourt LLC
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Class A Common
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7/20/2015
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W
(1)
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V
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2555440
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D
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$0.00
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9104152
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I
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Avish Agincourt LLC
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Class B Common
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7/20/2015
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W
(1)
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V
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579690
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A
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$0.00
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4130474
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I
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Avish Agincourt LLC
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Class B Common
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7/20/2015
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W
(1)
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V
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1159381
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D
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$0.00
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4130474
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I
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Avish Agincourt LLC
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Class A Common
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9/16/2015
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G
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V
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651681
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A
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(2)
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9104152
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I
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Avish Agincourt LLC
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Class A Common
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9/16/2015
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G
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V
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651681
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D
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(2)
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9104152
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I
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Avish Agincourt LLC
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Class B Common
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9/16/2015
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G
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V
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295662
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A
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(2)
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4130474
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I
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Avish Agincourt LLC
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Class B Common
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9/16/2015
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G
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V
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295662
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D
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(2)
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4130474
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I
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Avish Agincourt LLC
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Class A Common
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190326
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D
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Class B Common
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489549
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D
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Class A Common
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10000
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I
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Alexander Joy
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Class B Common
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641
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I
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Alexander Joy IMA
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Class A Common
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15633
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I
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Alexander Joy UTMA
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Class B Common
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13125
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I
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Alexander Joy UTMA
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Class A Common
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56334
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I
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Annsley Frazier Thornton Trust
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Class B Common
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41046
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I
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Annsley Frazier Thornton Trust
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Class A Common
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23184
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I
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By Spouse
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Class B Common
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30726
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I
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By Spouse
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Class A Common
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22000
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I
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Caitlin Joy
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Class B Common
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641
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I
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Caitlin Joy IMA
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Class A Common
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5922
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I
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Caitlin Joy UTMA
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Class B Common
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4893
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I
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Caitlin Joy UTMA
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Class A Common
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16000
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I
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Charles Joy
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Class B Common
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641
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I
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Charles Joy IMA
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Class A Common
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10548
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I
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Charles Joy UTMA
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Class B Common
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8895
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I
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Charles Joy UTMA
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Class A Common
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5000
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I
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Christopher Joy
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Class B Common
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641
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I
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Christopher Joy IMA
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Class A Common
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22824
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I
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Christopher Joy UTMA
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Class B Common
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20773
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I
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Christopher Joy UTMA
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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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Represents the division of a family trust holding units of Avish Agincourt LLC following the death of the settlor.
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(
2)
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On September 16, 2015, the reporting person transferred units of Avish Agincourt LLC to a grantor trust for the benefit of family members in which the reporting person retains a pecuniary interest. The reporting person received a note under the terms of the trust providing for a periodic payment similar in operation to a grantor retained annuity trust.
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Remarks:
The reporting person disclaims beneficial ownership of shares held by trusts and entities set forth in this report except to the extent of her pecuniary interest therein.
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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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Joy Catherine Frazier
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
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X
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Signatures
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Kelly Bowen, Attorney in Fact for Catherine Frazier Joy
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9/18/2015
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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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