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BROWN FORMAN CORP — Director's Dealing 2013
Jul 15, 2013
30482_dirs_2013-07-15_effdbff5-964c-4fa5-a6b9-3cf53c8d19fb.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: 2013-07-12
Reporting Person: BERG DONALD C (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-12 | Class B Common | M | 14000.0000 | $28.5800 | Acquired | 62159.0000 | Direct |
| 2013-07-12 | Class B Common | S | 4299.0000 | $71.9290 | Disposed | 57860.0000 | Direct |
| 2013-07-12 | Class B Common | F | 9701.0000 | $72.0500 | Disposed | 48159.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-12 | Stock Appreciation Right | $28.5800 | M | 14000.0000 | Disposed | 2015-04-30 | Class B Common (14000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 27991.0000 | Direct |
| Class B Common | 2255.5360 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (16339.0000) | 16339.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (18704.0000) | 18704.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (21971.0000) | 21971.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (35999.0000) | 35999.0000 | Direct |
| Stock Appreciation Right | $38.4300 | 2020-04-30 | Class B Common (19669.0000) | 19669.0000 | Direct |
| Stock Appreciation Right | $46.4000 | 2021-04-30 | Class B Common (20855.0000) | 20855.0000 | Direct |
| Stock Appreciation Right | $58.7000 | 2022-04-30 | Class B Common (27476.0000) | 27476.0000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.92 to $71.94, inclusive. The reporting person undertakes to provide to Brown-Forman Corporation, any security holder of Brown-Forman Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
F2: The closing prices of BF-B ($72.05) on July 11, 2013 was used to calculate the tax withholding obligation.
F3: Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of July10, 2013.