-----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, BLPG4DuDnmjPIbMThGuvPSmMvWQcFx0TN8KNxvDKnGvPp77wZ76kIJEl9sGWeg6L S2VrowN+LONga3c5W/qSUw== 0000950131-96-001739.txt : 19960430 0000950131-96-001739.hdr.sgml : 19960430 ACCESSION NUMBER: 0000950131-96-001739 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960429 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10909 FILM NUMBER: 96552265 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 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 DISTILLERS CORP DATE OF NAME CHANGE: 19840807 FORMER COMPANY: FORMER CONFORMED NAME: BROWN FORMAN DISTILLERY CO DATE OF NAME CHANGE: 19670730 SC 13D/A 1 AMENDMENT #3 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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) James S. Welch (502)582-1601 Ogden Newell & Welch 1200 One Riverfront Plaza, Louisville, KY 40202 ________________________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) N/A _______________________________________________________________ (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(b)(3) or (4), check the following box [_]. Check the following box if a fee is being paid with the statement [_]. (A fee is not required only if the reporting 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.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * The remainder of this cover page shall be filed 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 disclosures provided in a prior cover page. The information required on 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 5 Pages - ----------------------- --------------------- CUSIP No. 115637-10-0 13D Page 2 of 5 Pages - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Laura Lee Brown ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 N/A - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 5 N/A - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 1,360,910 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 1,360,910 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,360,910 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 4.69% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! BROWN-FORMAN CORPORATION SCHEDULE 13D Laura Lee Brown Item 1. Security and Issuer: Class A Common Stock Brown-Forman Corporation 850 Dixie Highway Louisville, KY 40210 Item 2. Identity and Background: (a) Name: Laura Lee Brown (b) Residence or business address: 7001 U.S. Highway 42 Louisville, KY 40222 (c) Present principal occupation or employment and employer information: None. (d) Criminal Convictions in last five years: None. (e) Civil proceedings in last five years leading to finding of violation of federal or state securities laws: None. (f) Citizenship: United States of America. Item 3. Source and Amount of Funds or Other Consideration: Not Applicable. Page 3 of 5 Item 4. Purpose of Transaction: Due to the emancipation of certain minors, relieving the undersigned of beneficial ownership of the shares they hold either directly or through certain trusts, my beneficial share ownership of the Class A common stock of Brown-Forman Corpration has dropped below 5%. Item 5. Interest in Securities of the Issuer: (a)(i) Amount Beneficially Owned: 1,360,910 (ii) Percent of Class: 4.69% (b)(i) Sole Voting Power: 0 (ii) Shared Voting Power: 1,360,910 (iii) Sole Dispositive Power: 0 (iv) Shared Dispositive Power: 1,360,910 (v) Persons Sharing Voting and Disposal Power: The undersigned, as a member of the Advisory Committee to Trusts under the Will of her mother, Gertrude Brown Albrecht, shares voting and disposal powers over 46,116 shares of Brown-Forman Corporation Class A common stock and, as a member of the Advisory Committee to Trusts under the Will of her father, George Garvin Brown, shares voting and disposal powers over 591,315 shares of Brown-Forman Corporation, Class A common stock, in each instance. (1)(A) George Garvin Brown III (B) c/o Transtek National City Tower Louisville, KY 40202 (C) Chairman of the Board of Transportation Technologies, Inc. (2)(A) Owsley Brown II (B) Brown-Forman Corporation 850 Dixie Highway Louisville, KY 40210 Page 4 of 5 (C) Chairman of the Board and Chief Executive Officer, Brown-Forman Corporation Neither Mr. G. Garvin Brown nor Mr. Owsley Brown II 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. (c) Transactions in Past Sixty Days: None. (d) Others Known to Have Power to Direct Receipt of Dividends or Sale Proceeds: None. 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. April 25, 1996 - ------------------------------ /s/ Laura Lee Brown - ------------------------------ Signature Laura Lee Brown - ------------------------------ Name/Title Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----