STUBBS DACE BROWN 4

4 · BROWN FORMAN CORP · Filed Mar 27, 2013

Form 4

Period: 2013-03-26

Director

Transactions

Exercise/Conversion
Class B Common
2013-03-26$18.94/sh+6,253$118,432→ 308,282.5 total
Tax Payment
Class B Common
2013-03-26$69.23/sh−1,711$118,453→ 306,571.5 total
Sale
Class B Common
2013-03-26$69.93/sh−4,542$317,622→ 302,029.5 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2013-03-26−6,253→ 0 total
Exercise: $18.94From: 2003-05-01Exp: 2013-04-30→ Class B Common (6,253 underlying)

Holdings

Class A Common
(indirect: Log House 2011 LP)
3,882,267
Class B Common
(indirect: Log House 2011 LP)
577,566
Non-Qualified Stock Option (right to buy)
Exercise: $22.49From: 2004-07-22Exp: 2014-04-30→ Class B Common (4,867 underlying)
4,867
Stock Appreciation Rights
Exercise: $34.95From: 2006-07-27Exp: 2016-04-30→ Class B Common (4,819 underlying)
4,819
Class A Common
(indirect: By Trust)
2,379.1
Class B Common
(indirect: By Partnership)
175,000
Class A Common
(indirect: By Trust)
1,758.7
Stock Appreciation Rights
→ Class B Common (3,306.95 underlying)
3,306.95
Class A Common
101,409.7
Class A Common
(indirect: By Partnership)
235,495
Stock Appreciation Rights
Exercise: $35.51From: 2008-07-24Exp: 2018-04-30→ Class B Common (5,495 underlying)
5,495
Stock Appreciation Rights
Exercise: $28.58From: 2005-07-28Exp: 2015-04-30→ Class B Common (5,658 underlying)
5,658
Stock Appreciation Rights
Exercise: $33.76From: 2007-07-26Exp: 2017-04-30→ Class B Common (5,987 underlying)
5,987
Stock Appreciation Rights
Exercise: $27.05From: 2009-07-23Exp: 2019-04-30→ Class B Common (6,752 underlying)
6,752

Footnotes (3)

[F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.82 to $70.04 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 sold at each separate price within the range set forth in this footnote.
[F2]Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program each DSU represents the right to receive one share of the Company's Class B common stock.
[F3]Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in class B common stock on the first February 1 that is at least six months following the Director's termination from Board service.

Documents

1 file