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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right (4) | $ 58 | 05/25/2006 | 04/30/2015 | Class B Common | 477 | 477 | D | ||||||||
Stock Appreciation Right (4) | $ 55.69 | 07/27/2006 | 04/30/2016 | Class B Common | 3,023 | 3,023 | D | ||||||||
Stock Appreciation Right (4) | $ 53.8 | 07/26/2007 | 04/30/2017 | Class B Common | 3,756 | 3,756 | D | ||||||||
Stock Appreciation Right (4) | $ 56.58 | 07/24/2008 | 04/30/2018 | Class B Common | 3,447 | 3,447 | D | ||||||||
Stock Appreciation Right (4) | $ 43.1 | 07/23/2009 | 04/30/2019 | Class B Common | 4,236 | 4,236 | D | ||||||||
Deferred Stock Units | (2) | (3) | (3) | Class B Common | 985.38 | 985.38 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown Martin S JR 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty. in Fact for Martin S. Brown, Jr. | 06/03/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Distribution of shares from Nectar Trust to reporting person. BFB shares decreased by 1 share due to Trustee's conversion of fractional share to cash. |
(2) | Each deferred stock unit represents a contingent right to receive one share of Brown-Forman Class B common stock. |
(3) | The deferred stock units vest over the course of the Board year. Vested shares will be delivered to the reporting person on the first February 1st that is at least 6 months following the Director's termination from Board service. |
(4) | All outstanding derivative security amounts and exercise prices were adjusted on December 10, 2010, the record date for the Issuer's December 28, 2010 special cash dividend. |