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BROWN FORMAN CORP — Director's Dealing 2013
Jun 4, 2013
30482_dirs_2013-06-04_74ac931a-899f-4290-8d01-1fdfe19eb063.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: 2013-06-01
Reporting Person: MORREAU JANE C (SVP, Chief Production Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-01 | Class A Common | A | 3489.0000 | $0.0000 | Acquired | 6379.2848 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 52.5000 | Direct |
| Class B Common | 2543.9705 | 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 (5275.0000) | 5275.0000 | Direct |
| Stock Appreciation Right | $28.5800 | 2015-04-30 | Class B Common (4558.0000) | 4558.0000 | Direct |
| Stock Appreciation Right | $33.7600 | 2017-04-30 | Class B Common (9292.0000) | 9292.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (7131.0000) | 7131.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (11463.0000) | 11463.0000 | Direct |
| Stock Appreciation Right | $38.4300 | 2020-04-30 | Class B Common (12590.0000) | 12590.0000 | Direct |
| Stock Appreciation Right | $46.4000 | 2021-04-30 | Class B Common (14365.0000) | 14365.0000 | Direct |
| Stock Appreciation Right | $58.7000 | 2022-04-30 | Class B Common (11098.0000) | 11098.0000 | Direct |
| Stock Appreciation Right | $34.9500 | 2016-04-30 | Class B Common (8400.0000) | 8400.0000 | Direct |
Footnotes
F1: These shares were issued on June 1, 2013 in connection with a July 22, 2010 award of Class A Common Performance-Based Restricted Stock. The award - initially determined as a cash value - was subject to a three-year performance period, which ended April 30, 2013. The number of shares issued was determined by multiplying the cash value of the award by a three-year performance adjustment factor, adjusting upwards to account for dividends paid during the second and third years of the performance period, and then dividing that amount by $41.96, which is the closing price of the issuer's Class A common stock on the date of the grant.
F2: Total updated as of May 31, 2013 to reflect dividend reinvestment.
F3: Includes shares acquired through the Brown-Forman Corporation Employee Stock Purchase Program as of the close of business on May 31, 2013.