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BROWN FORMAN CORP — Director's Dealing 2013
Jun 4, 2013
30482_dirs_2013-06-03_b4509295-3252-41d8-8318-4d345148698b.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: Hamel Matthew E (EVP, Gen Counsel and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-01 | Class A Common | A | 2908.0000 | $0.0000 | Acquired | 6279.0000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class B Common | 3786.3080 | Indirect |
| Class A Common | 252.5301 | Indirect |
| Class B Common | 500.0467 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Right | $33.6500 | 2017-04-30 | Class B Common (15159.0000) | 15159.0000 | Direct |
| Stock Appreciation Right | $35.5100 | 2018-04-30 | Class B Common (14647.0000) | 14647.0000 | Direct |
| Stock Appreciation Right | $27.0500 | 2019-04-30 | Class B Common (29998.0000) | 29998.0000 | Direct |
| Stock Appreciation Right | $38.4300 | 2020-04-30 | Class B Common (25177.0000) | 25177.0000 | Direct |
| Stock Appreciation Right | $46.4000 | 2021-04-30 | Class B Common (23942.0000) | 23942.0000 | Direct |
| Stock Appreciation Right | $58.7000 | 2022-04-30 | Class B Common (22195.0000) | 22195.0000 | 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: Number of shares the reporting person has acquired under the Brown-Forman 401(k) plan as of May 30, 2013
F3: Includes shares acquired through issuer's dividend reinvestment plan as of close of business on May 31, 2013.
F4: Includes shares acquired through the Brown-Forman Corporation Employee Stock Purchase Program as of close of business on May 31, 2013.