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BROWN FORMAN CORP — Director's Dealing 2013
Sep 16, 2013
30482_dirs_2013-09-16_bc4d6fc6-343c-4559-b03a-21fa4f9ac69a.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: 2013-09-13
Reporting Person: Brown George Garvin IV (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-13 | Class A Common | J | 22217.0000 | $67.1350 | Acquired | 88434.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 180496.0000 | Direct |
| Class B Common | 222933.0000 | Direct |
| Class A Common | 5090.0000 | Indirect |
| Class B Common | 17418.0000 | Indirect |
| Class B Common | 11813.6140 | Indirect |
| Class A Common | 21.0000 | Indirect |
| Class B Common | 2746.0000 | Indirect |
| Class A Common | 3963535.0000 | Indirect |
| Class B Common | 540883.0000 | Indirect |
| Class A Common | 6628.0000 | Indirect |
| Class B Common | 2269.0000 | Indirect |
| Class A Common | 4220.0000 | Indirect |
| Class B Common | 78300.0000 | Indirect |
| Class A Common | 529554.0000 | Indirect |
| Class A Common | 496.0000 | Indirect |
| Class A Common | 553586.0000 | Indirect |
| Class B Common | 28843.0000 | Indirect |
| Class A Common | 6071.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $22.4900 | 2014-04-30 | Class B Common (3089.0000) | 3089.0000 | Direct |
| Restricted Stock Units | $ | Class B Common (882.0000) | 882.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (3312.0000) | 3312.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (3124.0000) | 3124.0000 | Direct | |
| Restricted Stock Units | $ | Class B Common (3936.0000) | 3936.0000 | Direct | |
| Stock Appreciation Right | $28.5800 | 2015-04-30 | Class B Common (1068.0000) | 1068.0000 | Direct |
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (1467.0000) | 1467.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (1679.0000) | 1679.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (1542.0000) | 1542.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (4714.0000) | 4714.0000 | Direct |
Footnotes
F1: Represents exchange of shares for other assets between the insider's GRAT and a family trust for estate planning purposes, following the pro rata distribution of such shares on September 11, 2013, from the GGB4 2012 LP.
F2: Total updated to reflect acquisition of 22,217 shares in a pro rata distribution from GGB4 2012 LP.
F3: Total updated to reflect acquisition of 496 shares in a pro rata distribution from GGB4 2012 LP.
F4: Shares acquired in a pro rata distribution from GGB4 2012 LP.
F5: Total updated to reflect disposition of 49,646 shares in a pro rata distribution.
F6: Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F7: The restricted stock units vest April 30, 2014.
F8: The restricted stock units vest April 30, 2015.
F9: The restricted stock units vest April 30, 2016.
F10: The restricted stock units vest April 30, 2017.