-----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, BVkIiso35T+qcYZyHdK+SLGscTM99JyTDTyi0f4+8unwYiulygPEvJ/DLVot+UrM Ra8t4q054LAJ3DPTihHLMA== 0000950144-07-001282.txt : 20070214 0000950144-07-001282.hdr.sgml : 20070214 20070214173329 ACCESSION NUMBER: 0000950144-07-001282 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 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: 005-14029 FILM NUMBER: 07623368 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 g05423lgsc13gza.htm BROWN-FORMAN CORPORATION - FORM SC 13G/A LAURA LEE GASTIS Form SC 13G/A
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

BROWN-FORMAN CORPORATION
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
115637-10-0
(CUSIP Number)
December 31, 2006
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o Rule 13d-1(d)

* 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).

 
 


 

                     
CUSIP No.
 
115637-10-0 
 

 

           
1   NAMES OF REPORTING PERSONS:
Laura Lee Gastis
   
  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   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  United States of America
       
  5   SOLE VOTING POWER:
     
NUMBER OF   40,299
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   2,962,263
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   40,299
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    2,962,263
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  3,002,562
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  5.3%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN


 

Item 1.
Brown-Forman Corporation
850 Dixie Highway
Louisville, Kentucky 40210
Item 2.
     
     (a) Name:
  Laura Lee Gastis
 
   
     (b) Principal Business address:
  710 W. Main Street
 
  Louisville, Kentucky 40202
     (c) United States of America
     (d) Brown-Forman Corporation Class A Common Stock
     (e) 0115637-10-0
Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
     (a) o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
     (b) o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
     (c) o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
     (d) o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
     (e) o An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
     (f) o An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
     (g) o A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
     (h) o A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
     (i) o A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

 


 

     (j) o Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
     The amount of shares beneficially owned by the undersigned as of December 31, 2006, is as follows:
             
        Aggregate
        Number
(a)
  Beneficially Owned     3,002,562  
(b)
  Percent of Class     5.3 %
(c)
  Sole Voting Power     40,299  
 
  Shared Voting Power     2,962,263  
 
  Sole Disposition Power     40,299  
 
  Shared Disposition Power     2,962,263  
Item 5. Ownership of Five Percent or Less of a Class.
     If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
     Laura Lee Brown has the right to receive the dividends and the proceeds of sale from certain of the shares for which the undersigned has shared voting and dispositional control, which interest relates to more than 5% of the Class A Common Stock.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
     N/A
Item 8. Identification and Classification of Members of the Group.
     N/A
Item 9. Notice of Dissolution of Group.
     N/A

 


 

Item 10. Certification.
     By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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 14, 2007
         
     
/s/ Michael Crutcher Attorney-in-fact      
Laura Lee Gastis
By Michael B. Crutcher
Attorney-in-fact 
   
     
 

 


 

LIMITED POWER OF ATTORNEY
     KNOW ALL BY THESE PRESENTS: That I, Laura Lee Gastis, of Denver, Colorado, do hereby make and appoint Michael B. Crutcher, Nelea A. Absher or Thomas E. Rutledge of Louisville, Kentucky, each as my true and lawful attorney-in-fact, with full power of substitution, for the limited purpose of executing on my behalf and in my name, place, and stead any Schedule 13D or Schedule 13G, any amendments thereto, or other forms promulgated by the United States Securities & Exchange Commission pursuant to Section 13(d) of the Securities Exchange Act of 1934 and the rules thereunder 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 21st day of March, 2006.
         
     
  /s/ Laura Lee Gastis    
  Laura Lee Gastis   
     
 
     
STATE OF COLORADO
  }
 
  }
COUNTY OF DENVER
  }
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 Laura Lee Gastis, who subscribed and acknowledged the same to be his act and deed.
         
     
  /s/ Nathan Raizman    
  Notary Public
 
 
  My Commission Expires: June 19, 2006   
 

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