| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF 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 | | OMB APPROVAL | | OMB Number: | 3235-0104 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
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|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/23/2009 | 3. Issuer Name and Ticker or Trading Symbol BROWN FORMAN CORP
[BFA, BFB]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable) | Director | | 10% Owner | | X | Officer (give title below) | | Other (specify below) | | Senior Vice President |
| 5. If Amendment, Date of Original Filed (Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
| 2.
Amount of Securities Owned (Instr.
4)
| 3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
| 4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|---|
|
Class A Common
|
2,720
|
D
|
|
|
Class A Common
|
839.143
|
I
|
ESPP
|
|
Class B Common
|
431
|
D
|
|
|
Class B Common
|
172.85
|
I
|
ESPP
|
|
Class B Common
|
3,480.21
|
I
|
by 401(k) plan
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year)
| 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Excercise Price of Derivative Security
| 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
| 6. Nature of Indirect Beneficial Ownership (Instr. 5)
|
|---|
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
|---|
|
Non-Qualified stock option (right to buy)
| 05/01/2003 | 04/30/2010 |
Class B Common
|
1,223
|
$
19.68
|
D
|
|
|
Non-Qualified stock option (right to buy)
| 05/01/2004 | 04/30/2011 |
Class B Common
|
838
|
$
26.67
|
D
|
|
|
Non-Qualified stock option (right to buy)
| 05/01/2005 | 04/30/2012 |
Class B Common
|
2,309
|
$
25.06
|
D
|
|
|
Non-Qualified stock option (right to buy)
| 05/01/2006 | 04/30/2013 |
Class B Common
|
2,845
|
$
30.62
|
D
|
|
|
Non-Qualified stock option (right to buy)
| 05/01/2007 | 04/30/2014 |
Class B Common
|
4,222
|
$
36.35
|
D
|
|
|
Stock Appreciation Right
| 05/01/2008 | 04/30/2015 |
Class B Common
|
3,649
|
$
46.19
|
D
|
|
|
Stock Appreciation Right
| 05/01/2009 | 04/30/2016 |
Class B Common
|
1,977
|
$
56.5
|
D
|
|
|
Stock Appreciation Right
| 05/01/2010 | 04/30/2017 |
Class B Common
|
4,020
|
$
54.58
|
D
|
|
|
Stock Appreciation Right
| 05/01/2011 | 04/30/2018 |
Class B Common
|
5,383
|
$
57.4
|
D
|
|
|
Stock Appreciation Right
| 05/01/2012 | 04/30/2019 |
Class B Common
|
8,507
|
$
43.72
|
D
|
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| Explanation of Responses: |
|
|
| Diane M. Barhorst, attorney-in-fact for Jill A. Jones | 07/24/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person, see Instruction 5(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).
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| 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 Number. |
EX-24
The undersigned does hereby constitute and appoint each of Nelea A. Absher, Holli H. Lewis,
Diane M. Barhorst and Laura H. Pulliam, signing singly, the undersigned's true and lawful attorney-
in-fact to:
1. prepare, execute and file, for and on behalf of the undersigned, Form ID, Forms 3, 4 and 5
(including amendments thereto) in accordance with Section 16(a) of the Securities Exchange
Act of 1934 (the "Act") and the rules thereunder, and Schedules 13D and 13G (including
amendments thereto) in accordance with Sections 13(d) and 13(g) of the Act and the rules
thereunder;
2. do and perform any and all acts for and on behalf of the undersigned that may be necessary or
desirable to prepare and execute any such Form 3, 4 or 5 (including amendments thereto) or
Schedule 13D or 13G (including amendments thereto) and timely file that Form or Schedule
with the United States Securities and Exchange Commission and any stock exchange or similar
authority, and provide a copy as required by law or advisable to such persons as the attorney-
in-fact deems appropriate; and
3. take any other action of any type whatsoever in connection with the foregoing that, in the
opinion of the attorney-in-fact, may be of benefit to, in the best interest of, or legally required
of the undersigned, it being understood that the documents executed by the attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as the attorney-in-fact may approve in the attorney-in-fact's
discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and
perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the
exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that the attorney-in-fact, or the attorney-in-fact's substitute or
substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights
and powers herein granted.
The undersigned acknowledges that the foregoing attorneys-in-fact, and their substitutes, in serving
in such capacity at the request of the undersigned, are not assuming, nor is Brown-Forman
Corporation (the "Corporation") assuming, (i) any of the undersigned's responsibilities to comply
with Section 16 or Sections 13(d) or 13(g) of the Act or (ii) any liability of the undersigned for
failure to comply with such requirements. This Power of Attorney does not relieve the undersigned
from the undersigned's obligations to comply with the requirements of the Act, including without
limitation the reporting requirements under Section 16 or Sections 13(d) or 13(g) thereunder. The
undersigned agrees that each such attorney-in-fact may rely entirely on information furnished
orally or in writing by or at the direction of the undersigned to the attorney-in-fact.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer
required to file Forms 3, 4 and 5 and Schedules 13D and 13G with respect to the undersigned's
holdings of and transactions in securities issued by the Corporation, unless earlier revoked by the
undersigned in a signed writing delivered to the foregoing attorneys in fact. This Power of Attorney
does not revoke any other power of attorney that the undersigned has previously granted.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of
this ____ day of __________, 2009.
__________________________________
Jill A. Jones