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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 | ||||||||
Non-Qualified stock option (right to buy) | $ 35.83 (5) | 05/01/2007 | 04/30/2014 | Class B Common | 4,283 (5) | 4,283 | D | ||||||||
Stock Appreciation Right | $ 45.53 (5) | 05/01/2008 | 04/30/2015 | Class B Common | 3,702 (5) | 3,702 | D | ||||||||
Stock Appreciation Right | $ 55.69 (5) | 05/01/2009 | 04/30/2016 | Class B Common | 2,006 (5) | 2,006 | D | ||||||||
Stock Appreciation Right | $ 53.8 (5) | 05/01/2010 | 04/30/2017 | Class B Common | 4,078 (5) | 4,078 | D | ||||||||
Stock Appreciation Right | $ 56.58 (5) | 05/01/2011 | 04/30/2018 | Class B Common | 5,461 (5) | 5,461 | D | ||||||||
Stock Appreciation Right | $ 43.1 (5) | 05/01/2012 | 04/30/2019 | Class B Common | 8,630 (5) | 8,630 | D | ||||||||
Stock Appreciation Right | $ 61.24 (5) | 05/01/2013 | 04/30/2020 | Class B Common | 9,478 (5) | 9,478 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones Jill Ackerman 850 DIXIE HWY LOUISVILLE, KY 40210 |
Senior Vice President |
Holli H. Lewis, Attorney-in-Fact for Jill A. Jones | 05/02/2011 | |
**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) | To satisfy tax withholding obligations associated with the April 30, 2011 vesting of certain past grants of Class A and Class B restricted stock, the reporting person surrendered 262 shares of Class A Common Stock and 431 shares of Class B Common Stock. |
(2) | The closing prices of BF-A ($71.86) and BF-B ($70.07) on April 29, 2011 were used to calculate the tax withholding obligation. |
(3) | These are the number of shares acquired through the Brown-Forman Corporation Employee Stock Purchase Program as of close of business on April 29, 2011. |
(4) | Held in 401(k) account as of May 2, 2011. |
(5) | 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. |