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 ........................ 407-60-4768
---------------------------------------------------------------------------------------------------------
(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