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BROWN FORMAN CORP — Director's Dealing 2013
Jul 29, 2013
30482_dirs_2013-07-29_042e19ea-f59a-4b89-92fb-46ea11d312ab.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROWN FORMAN CORP (BF'B)
CIK: 0000014693
Period of Report: 2013-07-25
Reporting Person: STUBBS DACE BROWN (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-25 | Deferred Stock Units | $ | A | 1181.4700 | Acquired | Class A Common (1181.4700) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 101409.7000 | Direct |
| Class B Common | 302029.5000 | Direct |
| Class A Common | 2379.1000 | Indirect |
| Class A Common | 1758.7000 | Indirect |
| Class A Common | 3882267.0000 | Indirect |
| Class B Common | 577566.0000 | Indirect |
| Class A Common | 235495.0000 | Indirect |
| Class B Common | 175000.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Deferred Stock Units | $ | Class B Common (3331.3700) | 3331.3700 | Direct | |
| Non-Qualified Stock Option (right to buy) | $22.4900 | 2014-04-30 | Class B Common (4867.0000) | 4867.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (6752.0000) | 6752.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (5495.0000) | 5495.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (5987.0000) | 5987.0000 | Direct |
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (4819.0000) | 4819.0000 | Direct |
| Stock Appreciation Right | $28.5800 | 2015-04-30 | Class B Common (5658.0000) | 5658.0000 | Direct |
Footnotes
F1: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 25, 2013, were based on the closing price of the Company's Class A common stock on that date ($74.06). On each dividend payment date, participants are credited with DSU equivalents.
F2: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class A common stock on the first February 1 that is at least six months following the Director's termination from Board service.
F3: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class B common stock. On each dividend payment date, participants are credited with DSU equivalents.
F4: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class B common stock on the first February 1 that is at least six months following the Director's termination from Board service.