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 ........................ 404-48-3454
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(2) Check the appropriate box if a member of a group (a)
(see instructions) ------------------------
(b)
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(3) SEC use only .......................................................
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(4) Source of funds (see instructions)................................. N/A
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(5) Check if disclosure of legal proceedings is required pursuant to
Items 2(d)or 2(e)
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(6) Citizenship or Place of Organization ............................... United States of America
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Number of shares beneficially owned by each reporting person with:
(7) Sole voting power ............................................. 736,465
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(8) Shared voting power............................................ 13,045,747
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(9) Sole dispositive power ........................................ 736,465
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(10) Shared dispositive power ...................................... 13,045,747
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(11) Aggregate amount beneficially owned by each reporting person 13,782,212
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(12) Check if the aggregate amount Row (11) excludes certain shares N/A
(see instructions).
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(13) Percent of class represented by amount in Row (11).................. 47.54%
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(14) Type of reporting person (see instructions) ........................ IN
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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:
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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
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W.L. Lyons Brown, Jr., by
Michael B. Crutcher, Attorney-In-Fact
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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.
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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
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Notary Public
My Commission Expires: June 22, 1996
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