-----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, C58k1RP3U9zDfVqSxTmS6RwaETPt6/9LgO9b0sIfnRHd2Vzi43YP1UPuJbyys4py qU3BhJmnMDR5vPLlVSuMkg== 0000950144-05-001364.txt : 20050214 0000950144-05-001364.hdr.sgml : 20050214 20050214132915 ACCESSION NUMBER: 0000950144-05-001364 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050214 DATE AS OF CHANGE: 20050214 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: 005-14029 FILM NUMBER: 05606585 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: STUBBS DACE BROWN CENTRAL INDEX KEY: 0001197231 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: PO BOX 1080 CITY: LOUISVILLE STATE: KY ZIP: 40201 SC 13D/A 1 g93167fsc13dza.htm BROWN-FORMAN CORP-FORM SC 13D/A DACE BROWN STUBBS BROWN-FORMAN CORP-FORM SC 13D/A DACE BROWN STUBBS
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 6)*

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, 2005

(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 that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* 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 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).


 

             
CUSIP No. 115637-10-0

  1. Name of Reporting Person:
Dace Brown Stubbs
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  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): o

  6. Citizenship or Place of Organization:
United States of America

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
2,000

8. Shared Voting Power:
19,209,330

9. Sole Dispositive Power:
2,000

10.Shared Dispositive Power:
19,209,330

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
19,211,330

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o
N/A

  13.Percent of Class Represented by Amount in Row (11):
33.83%

  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.
 
       
f)
  Citizenship: United States of America

Item 3. Source and Amount of Funds or Other Consideration.

     Not applicable.

Item 4. Purpose of Transaction.

     This filing is made on a voluntary basis to bring the undersigned’s disclosure of beneficial ownership current as of January 1, 2005.

Item 5. Interest in Securities of the Issuer.

     The amount of shares beneficially owned by the undersigned as of January 1, 2005, is as follows:

3


 

                     
      Aggregate
  Percent
      Number
  of Class
(a)
  Beneficially Owned     19,211,330       33.83 %
 
                   
(b)
  Sole Voting Power     2,000          
  Shared Voting Power     19,209,330          
  Sole Disposition Power     2,000          
  Shared Disposition Power     19,209,330          

  (c)   None.
 
  (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 shares of Brown-Forman Corporation Class A common stock exceeding 5% of the class. 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, 829 West Main Street, Louisville, Kentucky 40202, 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.
 
   
Item 7.
  Material to be Filed as Exhibits.
 
   
  None.

4


 

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 8, 2005

/s/ Dace Brown Stubbs
Dace Brown Stubbs

5

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