-----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, OTTAwJZ8R7xiFrCpJwaCCScjxiroVDUC00LmUZmOd4AMK9NdVVCmAb8ZKs3PrdEi KxTsl+h04GVdh5/E7OsMuQ== 0000950144-02-001548.txt : 20020414 0000950144-02-001548.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950144-02-001548 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: 02549754 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 g74248fsc13da.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 [ ]. CUSIP NO. 115637-10-0 (1) Names of reporting persons.......................................... W.L. Lyons Brown, Jr. 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 ............................................. 736,465 -------------------------- (8) Shared voting power............................................ 13,045,747 -------------------------- (9) Sole dispositive power ........................................ 736,465 -------------------------- (10) Shared dispositive power ...................................... 13,045,747 - --------------------------------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person 13,782,212 - --------------------------------------------------------------------------------------------------------- (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).................. 47.54% - --------------------------------------------------------------------------------------------------------- (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: W.L. Lyons Brown, Jr. b) Principal Business address: 501 Fourth Street Hilliard-Lyons Center Louisville, Kentucky 40202 c) United States Ambassador to Austria; Retired Chairman and Chief Executive Officer of the issuer, 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. N/A 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 13,782,212 47.54% (b) Sole Voting Power 736,465 Shared by Voting Power 13,045,747 Sole Disposition Power 736,465 Shared Disposition Power 13,045,747
(c) No transactions in Brown-Forman Corporation Class A Common Stock were effected by W.L. Lyons Brown, Jr. in the sixty days prior to December 31, 2001. (d) 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 one of these trusts which holds more than 5% of the outstanding shares of such Class A Common Stock: Sarah S. Brown. (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 12, 2002 -- /s/ Michael B. Crutcher - ---------------------------------------------- W.L. Lyons Brown, Jr., by Michael B. Crutcher, Attorney-In-Fact 4 LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: That I, W. L. Lyons Brown, Jr., of Louisville, Kentucky, do hereby make and appoint Michael B. Crutcher, of Louisville, Kentucky, as my true and lawful attorney-in-fact for the limited purpose of executing on my behalf and in my name, place and stead any Form 4, Form 5, Schedule 13G or other form promulgated by the United States Securities & Exchange Commission, which I am required by law or regulation to execute. This limited power shall remain in effect until specifically revoked by me. IN TESTIMONY WHEREOF, I have set my hand this 4th day of October, 1994. /s/ W. L. Lyons Brown, Jr. --------------------------------------------------- W. L. Lyons Brown, Jr. COMMONWEALTH OF KENTUCKY } } COUNTY OF JEFFERSON } I, a Notary Public in and for the State and County aforesaid, do hereby certify that the foregoing instrument of writing was this day produced before me by W. L. Lyons Brown, Jr., who subscribed and acknowledged the same to be his act and deed. /s/ Wanda L. Welch ---------------------------------------- Notary Public My Commission Expires: June 22, 1996 ------------------ 5 -----END PRIVACY-ENHANCED MESSAGE-----