-----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, T6HSWWbHY/+beBCaMEtWM3pte6htv9ROC3XZLqvij4OTEmh8YGiADY3YUH4KTOgL fM8Fcre9C9zSBT9fENNVhw== 0000950144-02-001550.txt : 20020414 0000950144-02-001550.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950144-02-001550 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10909 FILM NUMBER: 02549787 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 DISTILLERY CO DATE OF NAME CHANGE: 19670730 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 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 13D/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 DISTILLERY CO DATE OF NAME CHANGE: 19670730 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERS CORP DATE OF NAME CHANGE: 19840807 SC 13D/A 1 g74248gsc13da.txt BROWN-FORMAN CORPORATION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20645 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) BROWN-FORMAN CORPORATION (Name of Issuer) Class A Common Stock (Title of Class of Securities) 115637-10-0 (CUSIP Number) Thomas E. Rutledge Ogden Newell & Welch PLLC 1700 PNC Plaza 500 West Jefferson Street Louisville, Kentucky 40202 (502) 582-1601 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 1, 2002 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d- 1(f) or 13d-1(g), check the following box [X]. CUSIP NO. 115637-10-0 (1) Names of reporting persons.......................................... Dace Brown Stubbs I.R.S. Identification Nos. of above persons ........................ ###-##-#### - --------------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (a) (see instructions) ------------------------ (b) - --------------------------------------------------------------------------------------------------------- (3) SEC use only ....................................................... - --------------------------------------------------------------------------------------------------------- (4) Source of funds (see instructions)................................. N/A - --------------------------------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d)or 2(e) - --------------------------------------------------------------------------------------------------------- (6) Citizenship or Place of Organization ............................... United States of America - --------------------------------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power ............................................. 1,000 -------------------------- (8) Shared voting power............................................ 9,444,864 -------------------------- (9) Sole dispositive power ........................................ 1,000 -------------------------- (10) Shared dispositive power ...................................... 9,444,864 - --------------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person 9,445,864 - --------------------------------------------------------------------------------------------------------- (12) Check if the aggregate amount Row (11) excludes certain shares N/A (see instructions). - --------------------------------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11).................. 32.59% - --------------------------------------------------------------------------------------------------------- (14) Type of reporting person (see instructions) ........................ IN - ---------------------------------------------------------------------------------------------------------
2 ITEM 1. SECURITY AND ISSUER. Brown-Forman Corporation Class A Common Stock 850 Dixie Highway Louisville, Kentucky 40210 ITEM 2. IDENTITY AND BACKGROUND. a) Name: Dace Brown Stubbs b) Principal Business address: 135 Sago Palm Road Vero Beach, Florida 32963 c) Private Investor; Director, Brown-Forman Corporation d) Criminal Convictions: No criminal convictions in the last five years (excluding traffic violations or similar misdemeanors). e) Securities Proceedings: No judgments, decrees or final orders enjoining further violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violations with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. N/A ITEM 4. PURPOSE OF TRANSACTION. No transactions by the undersigned are reported on this Schedule. This Schedule is filed solely to update information already of record with respect to co-advisors set forth in Item 5. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. The amount of shares beneficially owned by the undersigned as of December 31, 2001, is as follows: 3
Aggregate Percent Number of Class ------ -------- (a) Beneficially Owned 9,445,864 32.59% (b) Sole Voting Power 1,000 Shared Voting Power 9,444,864 Sole Disposition Power 1,000 Shared Disposition Power 9,444,864
(c) No transactions in Brown-Forman Corporation Class A Common Stock of the issuer were effected by Dace Brown Stubbs in the last sixty days. (d) The undersigned, as a member of the Advisory Committee to certain trusts, with two other Advisory Committee members, shares voting and disposal powers over 9,444,864 shares of Brown-Forman Corporation Class A common stock. Those other advisors are W.L. Lyons Brown, Jr., Hilliard-Lyons Center, 501 Fourth Avenue, Louisville, Kentucky 40202, Retired, former Chairman of the Board and Chief Executive Officer of Brown-Forman Corporation, currently United States Ambassador to Austria, and Owsley Brown Frazier, The Bittners Building, 4938 Brownsboro Road, Suite 200, Louisville, Kentucky 40222, Retired, former Vice Chairman of Brown-Forman Corporation. Neither Mr. W.L. Lyons Brown, Jr. nor Mr. Owsley Brown Frazier has been convicted of a criminal offense or been found liable in a civil action involving securities laws in the last five years. Both are United States citizens. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. SIGNATURE 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. Date: February 6, 2002 --- /s/ Dace Brown Stubbs - -------------------------------- Dace Brown Stubbs 4 -----END PRIVACY-ENHANCED MESSAGE-----