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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) | $ 22.49 | 05/01/2007 | 04/30/2014 | Class B Common | 131,303 | 131,303 | D | ||||||||
Stock Appreciation Right | $ 33.65 | 11/15/2007 | 07/24/2015 | Class B Common | 5,311 | 5,311 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown Christina Lee 850 DIXIE HWY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty in Fact for Christina Lee Brown | 01/03/2013 | |
**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) | The reporting person was appointed administrator of the Estate of Owsley Brown II in October 2011. On 12/21/12, the Estate distributed to the reporting person a 64.59% interest in Olympus Three, LLC, in which the reporting person had previously reported a pecuniary interest. On 12/31/12, in a series of nearly simultaneous transactions, the Estate transferred a .3265% interest in Guiford-Brown LP, a 9.79% interest in Driftwood Holding Three LLC and a 1% interest in Longview LP to the Owsley Brown Marital Trust, which transferred them to the reporting person, who then sold them and a 60.14% interest in Olympus Three LLC to a family trust in which the reporting person has no pecuniary interest. Following these transactions, neither the Estate nor the reporting person has a pecuniary interest in Guilford-Brown LP, Driftwood Holding Three LLC or Longview LP, but the reporting person continues to have a pecuniary interest in Olympus Three LLC. |
(2) | The reporting person disclaims beneficial ownership of all entities set forth in this form except to the extent of her pecuniary interest therein. |
(3) | On 12/31/12, the reporting person gifted a 98% interest in Polaris LLC to a charitable lead annuity trust in which she has no pecuniary interest. |