AI assistant
BROWN FORMAN CORP — Director's Dealing 2013
Jul 12, 2013
30482_dirs_2013-07-12_a209d840-8fc9-497b-bd2f-6750c2f4da41.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROWN FORMAN CORP (BF'B)
CIK: 0000014693
Period of Report: 2013-07-11
Reporting Person: Brown George Garvin IV (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-11 | Class A Common | P | 1000.0000 | $73.8000 | Acquired | 5146.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 180000.0000 | Direct |
| Class B Common | 222933.0000 | Direct |
| Class A Common | 5090.0000 | Indirect |
| Class B Common | 17418.0000 | Indirect |
| Class A Common | 44000.0000 | 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 B Common | 78300.0000 | Indirect |
| Class A Common | 529554.0000 | Indirect |
| Class A Common | 603232.0000 | Indirect |
| Class B Common | 28843.0000 | 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 | |
| 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: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $73.679 to $73.92, 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 purchased at each separate price within the range set forth in Footnote (1) to this Form 4.
F2: Updated to clarify that the shares are held in trust rather than directly by spouse.
F3: Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of July 11, 2013.
F4: Each restricted stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock.
F5: The restricted stock units vest on April 30, 2014.
F6: The restricted stock units vest on April 30, 2015.
F7: The restricted stock units vest on April 30, 2016.