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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 46.58 | 07/22/2004 | 04/30/2014 | Class B Common | 2,348 | 2,348 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 25.22 | 05/01/2003 | 04/30/2010 | Class B Common | 7,038 | 7,038 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 30.63 | 05/01/2001 | 04/30/2008 | Class B Common | 16,408 | 16,408 | D | ||||||||
Non-Qualified Stock Optioon (right to buy) | $ 31.13 | 05/01/2002 | 04/30/2009 | Class B Common | 12,946 | 12,946 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 32.11 | 05/01/2002 | 04/30/2012 | Class B Common | 3,142 | 3,142 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 34.17 | 07/31/2001 | 04/30/2011 | Class B Common | 2,584 | 2,584 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 39.23 | 05/01/2003 | 04/30/2013 | Class B Common | 3,018 | 3,018 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 50 | 05/01/2006 | 08/31/2007 | Class B Common | 600 | 600 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BROWN FRAZIER OWSLEY 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X | X |
Nelea A. Absher, Attn In Fact for: Owsley Brown Frazier | 02/02/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Filing of this form should not be construed as an admission that the filing person is, for purposes of Section 16 of the Securities Exchange Act of 1934, the "beneficial owner" of any equity securities held in trust. |
(2) | An error was recently discovered in the reporting of three transactions in December 2003 and January 2004, which has caused an incorrect total of directly held Class B shares to be carried forward in later reports for this reporting person. A gift of 3,000 shares was mistakenly reported as a gift of 2,680 shares as of 12/20/03; a gift of 2,760 shares was mistakenly reported as a gift of 2,700 shares as of 1/12/04; and a gift of 5,000 shares was mistakenly reported as a gift of 4,978 shares as of 1/12/04. Thus, the total shares of directly held Class B shares beneficially owned following the reporting person's most recent transaction has been adjusted downward by 402 shares in order to reconcile these errors. |