-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Pe8qL2V8RC/lNonenC+koWbNIeude8f3IDxzS1xGgAQDwSIdbfv2/vLkUI4JtMd4 9aRkwoOE85+F0b9bmdFkqQ== 0000950131-97-000817.txt : 19970222 0000950131-97-000817.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950131-97-000817 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROWN FORMAN CORP CENTRAL INDEX KEY: 0000014693 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 610143150 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10909 FILM NUMBER: 97529173 BUSINESS ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 BUSINESS PHONE: 5025851100 MAIL ADDRESS: STREET 1: P O BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN INC DATE OF NAME CHANGE: 19870816 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BROWN FORMAN CORP CENTRAL INDEX KEY: 0000014693 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 610143150 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 850 DIXIE HWY CITY: LOUISVILLE STATE: KY ZIP: 40210 BUSINESS PHONE: 5025851100 MAIL ADDRESS: STREET 1: P O BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN INC DATE OF NAME CHANGE: 19870816 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 SC 13G/A 1 OWSLEY BROWN II - AMENDMENT #18 ------------------------------- / OMB APPROVAL / / OMB 3235-0145 / / Expires 31 Aug 1982/ ------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 18)* BROWN-FORMAN CORPORATION ------------------------------------ (Name of Issuer) CLASS A COMMON STOCK ------------------------------------ (Title of Class of Securities) 115637-10-0 ----------- (CUSIP Number) Check the following box if a fee is being paid with this statement [_]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 4 Pages SEC 1745 (1-82) - ----------------------- --------------------- CUSIP NO. 115637-10-0 13-G PAGE 2 OF 4 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON OWSLEY BROWN II # ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 159,497 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 5,677,058 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 159,497 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 5,677,058 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 5,836,555 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 20.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13G Item 1(a) Name of Issuer: Brown-Forman Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 850 Dixie Highway Louisville, Kentucky 40210 Item 2(a) Name of Person Filing: Owsley Brown II Item 2(b) Address of Principal Business Office, or, if none, Residence: 850 Dixie Highway Louisville, Kentucky 40210 Item 2(c) Citizenship: United States of America Item 2(d) Title of Class of Securities: Class A Common Stock Item 2(e) CUSIP Number: 115637-10-0 Item 3 Not applicable Item 4 Ownership. The amount of shares beneficially owned by the undersigned as of December 31, 1996, is as follows: (a) Amount Beneficially Owned: 5,836,555 (b) Percent of Class: 20.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 159,497 (ii) shared power to vote or to direct the vote 5,677,058 (iii) sole power to dispose or to direct the disposition of 159,497 (iv) shared power to dispose or to direct the disposition of 5,677,058 Page 3 of 4 pages SCHEDULE G Item 5 Ownership of Five Percent or Less of a Class Not applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person. Other persons have the right to receive income from trusts holding Brown-Forman Corporation Class A Common Stock, as to which stock the undersigned has sole or shared voting power. The following person is sole income beneficiary of certain of these trusts which hold, in the aggregate, more than 5% of the outstanding shares of such Class A Common Stock: Sara S. Brown. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable Item 8 Identification and Classification of Members of the Group. Not applicable Item 9 Notice of Dissolution of Group. Not applicable Item 10 Certification. Not applicable ------------------------ After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 10, 1997 - -------------------------------- Date /s/ Garrison R. Cox - -------------------------------- Signature Owsley Brown II - -------------------------------- Name, Title by Garrison R. Cox, Attorney-in-Fact Page 4 of 4 pages OWSLEY BROWN II LIMITED POWER OF ATTORNEY FILINGS UNDER SECTION 13 OR 16 OF THE SECURITIES EXCHANGE ACT OF 1934 I, Owsley Brown II, hereby constitute and appoint each of Michael B. Crutcher, Garrison R. Cox, and John W. Hagen, my true and lawful attorney-in-fact, with full power of substitution and re-substitution, to: (a) execute for me and on my behalf, in my capacity as an officer and/or director of Brown-Forman Corporation (the "Company"), the following schedules and forms (as well as any exhibits or amendments to them) required to be filed under the Securities Exchange Act of 1934 and its related rules (the "Act"): (1) Schedules 13D or 13G pursuant to 13 of the Act; and (2) Forms 4 and 5 pursuant to Section 16 of the Act; (b) do and perform any and all acts for me and on my behalf which may be necessary or desirable to complete and execute any such schedule or form and timely file it with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (c) take any other action of any type whatsoever in connection with the above which, in the opinion of such attorney-in-fact, may be of benefit to me, in my best interest, or legally required by me, it being understood that the documents executed by such attorneys-in-fact on my behalf pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as they may approve in their discretion. I hereby grant to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever required, necessary, or proper to be done in the exercise of any of the rights and powers granted above, as fully as I might or could do if personally present, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute(s), shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers it grants. I acknowledge that the above attorneys-in-fact, in serving in such capacity, are not assuming, nor is the Company assuming, any of my responsibilities to comply with any portion of the Act. This Power of Attorney shall remain in full force and effect until I am no longer required to file Schedules 13D or 13G or Forms 4 and 5 with respect to my holdings of and transactions in securities issued by the Company, unless I earlier revoke it in a signed writing delivered to these attorneys-in-fact. IN WITNESS WHEREOF, I have executed this Power of Attorney this 18th day of March, 1996. /s/ Owsley Brown II -------------------------- Owsley Brown II -----END PRIVACY-ENHANCED MESSAGE-----