BROWN FORMAN CORP — Major Shareholding Notification 2004

Feb 12, 2004

SC 13D/A 1 g87102dssc13dza.htm BROWN-FORMAN CORP.-FORM SC 13D/A DACE B. STUBBS BROWN-FORMAN CORP.-FORM SC 13D/A DACE B. STUBBS PAGEBREAK

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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. 5)*

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, 2004

(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).

PAGEBREAK

| CUSIP NO. 115637-10-0 — 1. | Names of reporting
persons | | Dace Brown Stubbs |
| --- | --- | --- | --- |
| | S.S. or I.R.S. Identification Nos. of above
persons | | ###-##-#### |
| 2. | Check the appropriate box if a member of
a group (see instructions) | | (a) |
| | | | (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 | 9,604,864 |
| | 9. | Sole dispositive power | 1,000 |
| | 10. | Shared dispositive power | 9,604,864 |
| 11. | Aggregate amount beneficially owned by each reporting person | | 9,605,864 |
| 12. | Check if the aggregate amount in Row (11) excludes certain
shares (see instructions). | | N/A |
| 13. | Percent of class represented by amount in Row
(11) | | 33.80% |
| 14. | Type of reporting person (see instructions) | | IN |

2 PAGEBREAK

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.

Please see description of share exchange transaction set forth under Item 4 below.

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, 2004.

Item 5. Interest in Securities of the Issuer.

The amount of shares beneficially owned by the undersigned as of January 1, 2004, is as follows:

3 PAGEBREAK

	Number	of Class
(a)	Beneficially Owned	9,605,864	33.80 %
(b)	Sole Voting Power	1,000
	Shared Voting Power	9,604,864
	Sole Disposition Power	1,000
	Shared Disposition Power	9,604,864

(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, 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.

Item 7. Material to be Filed as Exhibits.

None.

4 PAGEBREAK

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, 2004

/s/ Dace Brown Stubbs Dace Brown Stubbs

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