UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Churchill Downs Incorporated
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, No Par Value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
171484 10 8
- --------------------------------------------------------------------------------
(CUSIP Number)
Thomas H. Meeker, Alexander M. Waldrop, Senior Vice President,
Churchill Downs Incorporated General Counsel and Secretary
700 Central Avenue Churchill Downs Incorporated
Louisville, KY 40208 700 Central Avenue
(502)636-4400 Louisville, KY 40208 (502)636-4400
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
April 28, 1995
- --------------------------------------------------------------------------------
(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(b)(3) or (4), check the following box |_|.
Check the following box if a fee is being paid with this statement [ ].
13D 171484 10 8 PAGE 2 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
ABC Partnership
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 9,065
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
9,065
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
9,065
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.2%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 PN
=========================================================================
13D 171484 10 8 PAGE 3 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Bank One Lexington, NA, as a Co-Trustee u/w A.B. Hancock,
deceased (1972), as Co-Trustee u/w Agnes Clay Pringle and
as Co-Trustee under Trust Agreement Nancy Clay Hancock and
as Co-Trustee under Trust Agreement Waddell Hancock, II
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
108,210 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
108,210 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
108,210
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.9%
- -----------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 BK
=========================================================================
13D 171484 10 8 PAGE 4 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
John W. Barr, III
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 2,000
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
2,000
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
2,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 5 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Shauna Bidwill Valenzuela
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 1,550
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
1,550
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
1,550
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
less than .05%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 6 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Catesby M. Clay, as an individual and as Co-Trustee under
Trust u/w J.N. Camden, deceased (1942), as a Co-Trustee
under Trust Agreement of J.N. Camden, and as Co-Trustee
under Trust u/w Agnes Clay Pringle
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 3,000
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
43,630 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,000
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,630 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
46,630
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
1.2%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN and OO
=========================================================================
13D 171484 10 8 Page 7 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Jim Clay, as a Co-Trustee under Trust u/w J.N. Camden,
deceased (1942), and as a Co-Trustee under Trust Agreement
of J.N. Camden
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
32,680 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,680 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
32,680
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.9%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D 171484 10 8 PAGE 8 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
James G. Kennan, III, as a Co-Trustee under Trust u/w J.N.
Camden, deceased (1942) and as a Co-Trustee under Trust
Agreement of J.N. Camden
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
32,680 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
32,680 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
32,680
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.9%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D 171484 10 8 PAGE 9 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
McColl Pringle, as a Co-Trustee u/w Agnes Clay Pringle,
deceased (1984)
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
10,950 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,950 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
10,950
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.3%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D 171484 10 8 PAGE 10 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
William S. Farish
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
PF
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 43,280
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
43,280
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
43,280
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
1.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 11 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
J. David Grissom
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 10,050
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
10,050
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
10,050
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.3%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 12 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Nancy Clay Hancock, as Co-Trustee u/w A.B. Hancock,
deceased (1972) and as Co-Trustee under Trust Agreement
of Nancy Clay Hancock
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
97,295 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
97,295 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
97,295
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.3%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D PAGE 13 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Seth W. Hancock, as an individual, and as a Co-Trustee
under Trust u/w A.B. Hancock, deceased (1972), as a Co-
Trustee under Trust Agreement of Nancy Clay Hancock and as
Co-Trustee under Trust Agreement of Waddell W. Hancock, II
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 36,500
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
106,325 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
36,500
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
106,325 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
142,825
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
3.8%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN and OO
=========================================================================
13D 171484 10 8 PAGE 14 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Waddell W. Hancock, as Co-Trustee u/w A.B. Hancock,
deceased (1972)
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
79,200 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
79,200 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
79,200
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D 171484 10 8 PAGE 15 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Waddell W. Hancock, II, as a Co-Trustee, A.B. Hancock,
deceased (1972), and as Co-Trustee under Trust Agreement
of Waddell W. Hancock, II
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
97,295 See Appendix II
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
97,295 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
97,295
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.6%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 OO
=========================================================================
13D 171484 10 8 PAGE 16 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Louis J. Herrmann, Jr.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 40,065
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
40,065
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
40,065
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
1.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 17 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Frank B. Hower, Jr.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 1,040
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
1,040
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
1,040
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
less than .05%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 18 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Stanley F. Hugenberg, Jr.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 3,670
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,670
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
3,670
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 Page 19 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Harriet S. Jones
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 10,000
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
10,000
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
10,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.3%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 Page 20 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Mina Jones Cox
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 8,570
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
8,570
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
8,570
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.2%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 21 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Edna Veeneman Lewis
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 5,660
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
5,660
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
5,660
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 22 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
W. Bruce Lunsford
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 100,030
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
90,030
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,000
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
100,030
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.6%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 23 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
W. Bruce Lunsford Foundation, Inc.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
10,000
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
10,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.3%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 CO
=========================================================================
13D 171484 10 8 PAGE 24 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Thomas H. Meeker
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 29,437
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
29,437
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
29,437
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.8%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 25 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Carl F. Pollard
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 73,040
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
73,040
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
73,040
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
1.9%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 26 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Robert Veeneman
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 4,280
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
4,280
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
4,280
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.1%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 Page 27 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Wells Family Partnership
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 210,530
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
210,530
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
210,530
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
5.6%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 PN
=========================================================================
13D 171484 10 8 Page 28 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Wells Foundation, Inc.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 22,400
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
22,400
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
22,400
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.6%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 CO
=========================================================================
13D 171484 10 8 PAGE 29 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
Mary Louise Whitney
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 128,000
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
128,000
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
128,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
3.4%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 PAGE 30 OF 51
=========================================================================
1 NAME OF REPORTING PERSON
William T. Young
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 114,660
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
-0-
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
114,660
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
114,660
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
3.0%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
13D 171484 10 8 Page 31 of 51
=========================================================================
1 NAME OF REPORTING PERSON
Charles W. Bidwill, Jr.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [X]
(B) [ ]
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 SOURCE OF FUNDS
PF
- -------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(D) OR 2(E) [ ]
- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 220,340
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
-----------------------------------------------------------
8 SHARED VOTING POWER
2,919
-----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
220,340
-----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,919
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
223,259
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
5.9%
- -------------------------------------------------------------------------
TYPE OF REPORTING PERSON
14 IN
=========================================================================
Page 32 of 51
This Amendment No. 1 to the Schedule 13D, dated April 18, 1995 (the
"Schedule 13D"), which was filed with the Securities and Exchange Commission on
April 25, 1995 by certain Reporting Persons and relates to the shares of common
stock, no par value (the "Shares") of Churchill Downs Incorporated (the
"Company"), hereby amends Items 2, 3, 4 and 5 of the Schedule 13D. Unless
otherwise indicated, all capitalized terms used but not defined herein shall
have the meaning as set forth in the Schedule 13D. The Schedule 13D was filed by
certain Reporting Persons who beneficially owned as of April 18, 1995, 1,196,146
Shares or approximately 31.5% of the shares outstanding and amended and restated
in its entirety any Schedule 13D which may be deemed to have been filed by such
persons with the Securities and Exchange Commission with respect to Shares on
April 25, 1995.
Item 2 IDENTITY AND BACKGROUND. This Amendment is filed by the individuals
and in the capacities described in Appendix I hereto and by certain other
stockholders described in Appendix I hereto, and constitutes a filing as a group
by such persons (hereinafter collectively referred to as the "Reporting
Persons"). Since the filing of the Schedule 13D, Robert Veeneman has become a
Reporting Person by executing the Agreement. On April 28, 1995, Charles W.
Bidwill, Jr. purchased 1,000 Shares at a purchase price of $43.50 per share. On
April 28, 1995, William S. Farish purchased 18,000 Shares at a purchase price of
$40.00 per share. Appendix II attached hereto has been revised to state the
number of Shares currently owned by the Reporting Persons. The Reporting Persons
now hold or have an interest in the aggregate of 1,219,426 Shares, representing,
as of the date hereof, approximately 32.1% of the Shares outstanding and shares
beneficially owned but not outstanding with respect to the Reporting Persons.
The Third Supplemental Stockholder Agreement was entered into among the
Reporting Persons and was effective as of April 18, 1995 (the "Agreement").
The names, residence or business addresses and present principal
occupation or employment, and the name, principal business and address of any
corporation or other organization where such employment is conducted, of the
Reporting Persons, are set forth in Appendix I attached hereto and incorporated
herein by reference. Each of the Reporting Persons who are individuals is a
citizen of the United States of America.
During the past five years, none of the Reporting Persons [i] has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors), or [ii] has been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
The persons making this filing are doing so because they may be deemed
to constitute a "group" for purposes of Section 13(d)(3) of the Securities
Exchange Act of 1934, as amended (the "Act"), by reason of their having executed
the Agreement (filed as Exhibit 1 to the Schedule 13D and incorporated herein by
reference). Except as expressly stated herein, each of the Reporting Persons
filing this Statement disclaims beneficial ownership of the Shares beneficially
owned by any other Reporting Person or any other person. The Attorney-in-Fact
appointed by each Reporting Person under the Agreement disclaims beneficial
ownership of the Shares beneficially owned by any of the
Page 33 of 51
Reporting Persons.
Information with respect to each of the Reporting Persons is given
solely by such Reporting Person and no Reporting Person has responsibility for
the accuracy or completeness of information supplied by another Reporting
Person.
Item 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Charles W.
Bidwill, Jr. purchased 1,000 Shares at a total price of $43,500.00. The source
of funds was personal funds. William S. Farish purchased 18,000 Shares at a
total price of $720,000.00. The source of funds was personal funds.
Item 4 PURPOSE OF TRANSACTION. Certain of the Reporting Persons and
certain other stockholders of the Company originally entered into a Stockholder
Agreement as of May 2, 1984. A Supplemental Stockholder Agreement was
subsequently entered into by certain of such persons on March 25, 1985; a Second
Supplemental Stockholder Agreement was entered into by certain of such persons
as of May 8, 1990; and an Amended Second Supplemental Stockholder Agreement was
entered into by certain of such persons as of January 7, 1992. Schedule 13Ds
were previously filed with regard to the execution of these Stockholder
Agreements, along with amendments to said Schedule 13Ds. The original
Stockholder Agreement had a term of two years and expired in May 1986. The
Supplemental Stockholder Agreement had a term of five years and expired on May
2, 1990. The Second Supplemental Stockholder Agreement had a term of five years.
As of January 7, 1992, the Second Supplemental Stockholder Agreement was
terminated by consent of the holders of two-thirds (2/3) of the shares subject
to such agreement who simultaneously entered into the Amended Second
Supplemental Stockholder Agreement. The Amended Second Supplemental Stockholder
Agreement provided that it would remain in effect until May 5, 1995, unless
terminated by the written consent of the holders of two-thirds (2/3) of the
shares of stock subject to such agreement. By execution of the Agreement, the
Amended Second Supplemental Stockholder Agreement was terminated by consent of
the holders of two-thirds (2/3) of the shares subject to such agreement who
simultaneously entered into the Agreement. Each of the original Stockholder
Agreement, the Supplemental Stockholder Agreement, the Second Supplemental
Stockholder Agreement and the Amended Second Supplemental Stockholder Agreement
provided that the signatories to such agreements could not sell or otherwise
transfer any interest in their Shares except in certain limited situations.
Although the Company has not received any offers at this time to
purchase its Shares, in executing the Agreement certain of the Reporting Persons
were concerned that there may be potential interest in acquiring assets or stock
of the Company. The Reporting Persons have entered into the Agreement for the
purpose of providing for liquidity in regard to the Shares and providing for a
longer term whereby control of the Shares is maintained, through a right of
first refusal in the Company, and then within the group constituting the
Reporting Persons.
Although no plan or proposal presently exists among the Reporting
Persons as a group to purchase additional Shares, a Reporting Person's right to
do so is not restricted under the Agreement. In addition, under the terms of the
Agreement, which provide for a right of first refusal in the Company, and then
within the group constituting the Reporting Persons, it is contemplated that at
some point, by operation of the Agreement, the number of Shares held by the
Reporting Persons individually will change although such changes will not affect
the amount held by all Reporting Persons.
Page 34 of 51
Charles W. Bidwill, Jr. and William S. Farish, respectively, purchased
additional Shares for investment purposes. None of the Reporting Persons has any
present plans or proposals which relate to or would result in [a] the
acquisition by any person of additional securities of the issuer, or the
disposition of securities of the issuer; [b] an extraordinary corporate
transaction, such as a merger, reorganization or liquidation, involving the
issuer or any of its subsidiaries; [c] a sale or transfer of a material amount
of assets of the issuer or any of its subsidiaries; [d] any change in the
present Board of Directors or management of the issuer, including any plans or
proposals to change the number or term of directors or to fill any existing
vacancies on the Board; [e] any material change in the present capitalization or
dividend policy of the issuer; [f] any other material change in the issuer's
business or corporate structure; [g] changes in the issuer's charter, bylaws or
instruments corresponding thereto or other actions which may impede the
acquisition of control of the issuer by any person; [h] causing a class of
securities of the issuer to be delisted from a national securities exchange or
to cease to be authorized to be quoted in an inter-dealer quotation system of a
registered national securities association; [i] a class of equity securities of
the issuer becoming eligible for termination of registration pursuant to Section
12(g)(4) of the Act; or [j] any action similar to any of those enumerated above.
Each of the Reporting Persons reserves the right to formulate such plans or
proposals, and to take such action, with respect to any or all of the foregoing
matters and any other matters as such Reporting Person may determine.
Although certain of the Reporting Persons are directors and/or
executive officers of the Company, each Reporting Person has executed the
Agreement solely in such Reporting Person's capacity as a stockholder of the
Company. The Company, through its Board of Directors, has approved the Agreement
for the purpose of making the Company a third party beneficiary to the
Agreement.
Page 35 of 51
Item 5 INTEREST IN SECURITIES OF THE ISSUER.
(a) As of April 28, 1995, the Reporting Persons beneficially owned
1,219,426 Shares or approximately 32.1% of the 3,783,318 Shares outstanding at
such date and shares beneficially owned but not outstanding with respect to the
Reporting Persons. The number of beneficially owned shares includes 16,900
Shares issuable to a Reporting Person under currently exercisable options and
717 Shares issuable to a Reporting Person under the Company's Incentive
Compensation Plan.
(b) Information with respect to the beneficial ownership of Shares by
each of the Reporting Persons is set forth in Appendix II hereto, revised as of
April 28, 1995, which is incorporated herein by reference. Each of the Reporting
Persons assumes no responsibility for the accuracy or completeness of Appendix
II except as it relates to the beneficial ownership of the Shares disclosed
therein of such Reporting Person.
(c) Since April 18, 1995, the following transactions have been effected
which have not previously been reported on an amended Schedule 13D: (i) on April
26, 1995, Robert Veeneman became a Reporting Person and 4,280 Shares
beneficially owned by Mr. Veeneman became subject to the Agreement; (ii) on
April 28, 1995, William S. Farish purchased 18,000 Shares at $40.00 per share in
a privately negotiated transaction; and (iii) on April 28, 1995, Charles W.
Bidwill, Jr. purchased 1,000 Shares at $43.50 per share in a privately
negotiated transaction.
(d) Except as set forth in Item 5(b), no persons other than the
Reporting Persons have the right to receive or the power to direct the receipt
of dividends from, or the proceeds from the sale of, any Shares beneficially
owned by such Reporting Persons.
(e) Not Applicable.
Page 36 of 51
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.
May 31, 1995 By /S/Thomas H. Meeker
--------------------------------------------------
Thomas H. Meeker,* Attorney-in-Fact on behalf of
each of the Reporting Persons listed on Appendices
I and II.
* Pursuant to Paragraph 14 of the Third Supplemental Stockholder Agreement,
each Reporting Person has authorized Thomas H. Meeker as Attorney-in-Fact
to sign on behalf of such Reporting Person any document which that
Attorney-in-Fact believes may be required to be filed. Evidence of the
authority to sign on behalf of each of the Reporting Persons has been
retained in the files of the Company.
Page 38 of 51
EXHIBIT INDEX
PAGE
Exhibit 1 - Form of Third Supplemental Stockholder Previously filed as
Agreement dated as of April 18, 1995 Exhibit 1 to Schedule
13D filed on
April 25, 1995
APPENDIX I
(as of April 28, 1995)
IDENTITY AND BACKGROUND OF REPORTING PERSON. The name, residence
or business address and present principal occupation or employment, and the
name, principal business and address of any corporation or other organization in
which such employment is conducted, of each Reporting Person is set forth below:
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
John W. Barr III 2000 Brown & Williamson Tower Retired; Former Chairman,
Louisville, KY 40202 National City Bank, Kentucky
(bank holding company)
Charles W. Bidwill, Jr. Sportsman's Park Race Track President and General Manager,
3301 Laramie Avenue National Jockey Club (operator
Cicero, IL 60650 of Sportsman's Park Race Track)
Catesby W. Clay 200 West Vine Street Chairman, Kentucky River Coal
Suite 8K Corporation (coal land lessor);
Lexington, KY 40507 President, Runnymede Farm, Inc.
(thoroughbred breeding)
William S. Farish Lane's End Farm President, W.S. Farish & Company
100 United Drive, Suite 3A (trust management company);
Versailles, KY 40383 Owner, Lane's End Farm
J. David Grissom 400 West Market Street Chairman, Mayfair Capital
Suite 2510 (private investment firm)
Louisville, KY 40202
Seth W. Hancock c/o Claiborne Farm Partner and Manager, Claiborne Farm;
P. O. Box 150 President, Hancock Farms, Inc.
Paris, KY 40361
Louis J. Herrmann, Jr. 340 Byrne Avenue Owner, Louis Herrmann Auto
Louisville, KY 40217 Consultant Incorporated
Frank B. Hower, Jr. 339A Mockingbird Valley Road Retired; Former Chairman,
Louisville, KY 40207 Liberty National Bancorp, Inc.
(bank holding company) and
Liberty National Bank & Trust
Company of Louisville
Stanley F. Hugenberg, Jr. 1913 Fortside Circle President, Jackantom Sales
Fort Mitchell, KY 41011 Company (manufacturer's
representative)
Harriet S. Jones c/o Hermitage Farm, Inc. Housewife
P. O. Box 40
Goshen, KY 40026
Mina Jones Cox 4600 Tingle Lane Housewife
Louisville, KY 40077
W. Bruce Lunsford 3300 Providian Center Chairman, President and Chief
Louisville, KY 40202 Executive Officer, Vencor, Inc.
(intensive care hospitals and
nursing homes)
Thomas H. Meeker Churchill Downs President of the Company
Incorporated
700 Central Avenue
Louisville, KY 40208
Carl F. Pollard Hermitage Farm Owner, Hermitage Farm
P. O. Box 40
Goshen, KY 40026
Edna Veeneman Lewis 16 Brownsboro Hill Rd. Housewife
Louisville, KY 40207
Robert Veeneman 4710 Gleason Avenue Self-employed (real estate
Sarasota, FL 34242 leasing)
Mary Louise Whitney 40 Geyser Road Housewife
Saratoga Springs, NY 12866
William T. Young P.O. Box 1110 Chairman of the Board, W.T.
Lexington, KY 40502 Young, Inc. (warehousing,
thoroughbred horses)
Shauna Bidwill Valenzuela 2424 Myrtle Avenue Housewife
Hermosa Beach, CA 90254
The following lists the corporations, partnerships and trusts that are
Reporting Persons.
TRUSTEES U/W J.N. CAMDEN DECEASED 1942 -- CATESBY M. CLAY, JIM CLAY
AND JAMES G. KENNAN, III
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Catesby W. Clay 200 West Vine Street Chairman, Kentucky River Coal
Suite 8K Corporation; President,
Lexington, KY 40507 Runnymede Farm, Inc.
Jim Clay P.O. Box l97 Farmer
Paris, KY 4036l
James G. Kennan, III 200 West Vine Street President and Chief Executive
Suite 8K Officer, Kentucky River Coal
Lexington, KY 40507 Corporation
TRUSTEES U/TRUST AGREEMENT J.N. CAMDEN -- CATESBY M. CLAY, JIM CLAY AND
JAMES G. KENNAN III. See above for information with respect to name, residence
or business address, and present principal occupation or employment.
Each of Messrs. Clay, Clay and Kennan is a United States citizen and
during the last five years, none of them [i] has been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) nor [ii] been
a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and, as a result of such proceeding, was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
TRUSTEES U/W A.B. HANCOCK, DECEASED 1972 -- SETH W. HANCOCK, WADDELL W.
HANCOCK, NANCY CLAY HANCOCK, WADDELL W. HANCOCK, II AND BANK ONE, LEXINGTON, NA
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Seth W. Hancock c/o Claiborne Farm Partner and Manager,
P.O. Box 150 Claiborne Farm; President,
Paris, KY 40361 Hancock Farms, Inc.
Waddell W. Hancock P.O. Box 150 Vice-President, Hancock
Paris, KY 40361 Farms, Inc.
Nancy Clay Hancock P.O. Box 150 Treasurer, Hancock Farms, Inc.
Paris, KY 40361
Waddell W. Hancock, II P.O. Box 150 Director of Marketing and Public
Paris, KY 40361 Relations, Hancock Farms, Inc.
[a] NAME: Bank One, Lexington, NA
[b] BUSINESS ADDRESS: 201 East Main Street, Lexington, KY 40507
[c] PRINCIPAL BUSINESS: Bank
[d] STATE OF ORGANIZATION: Kentucky
DIRECTORS OF BANK ONE, LEXINGTON, NA
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Laura S. Babbage 3174 Custer Drive Chief Executive Officer,
Lexington, KY 40502 Urgent Treatment Center
Gary D. Bello 727 Mallard Bay President, Clark Material
Lexington, KY 40502 Handling Co.
Steven H. Caller 343 Waller Avenue President, Investors Building
Suite 100 Corporation
Lexington, KY 40504
Alex G. Campbell, Jr. P.O. Box 223 Investments
Lexington, KY 40584
Jeanne Marie Dawahare 1400 Vine Center Director of Special Projects,
Lexington, KY 40507 Greenebaum, Doll & McDonald
A.W. Givens P.O. Box 2120 Chairman of the Board, Clay-Ingels
Lexington, KY 40594 Co., Inc.
William C. Greely P.O. Box 1690 President, Keeneland
Lexington, KY 40592 Association
Louis L. Haggin, III Sycamore Farm Manager, Sycamore Farm
2981 Shannon Run Road
Versailles, KY 40383
William R. Hartman 201 East Main Street Chairman and CEO, Bank One,
Lexington, KY 40507 Lexington, NA
John M. McDonald, III P.O. Box 55487 President and CEO, Brock-McVey
Lexington, KY 40555 Company
John Newton One Quality Street Chairman of the Board,
Lexington, KY 40507 President and CEO, Kentucky
Utilities Company
L. Frank Sadler 5997 Winchester Road Real Estate Developer,
Lexington, KY 40509 Frank Sadler Developer
Alvin T. Stolen, III 201 E. Main Street President, Bank One,
Lexington, KY 40507 Lexington, NA
William B. Sturgill 1256 Old Frankfort Pike President, East Kentucky
Lexington, KY 40504 Investment Co., Inc.
Dr. Lee T. Todd, Jr. 3191 Nicholasville Road President and Chief Executive
Suite 600 Officer, Data-Beam Corp.
Lexington, KY 40503
William H. Wilson 4817 Chaffey Lane Deputy Executive Director
Lexington, KY 40515 for Marketing, Kentucky
Educational Television
William T. Young, Jr. P.O. Box 1110 Chairman of the Board,
Lexington, KY 40589 W. T. Young Co., Inc.
EXECUTIVE OFFICERS OF BANK ONE
(Who are not directors of Bank One)
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Frank Eckerd 201 East Main Street Senior Vice President and Chief
Lexington, KY 40507 Credit Officer, Bank One, Lexington, NA
Roy Eon 201 East Main Street Senior Vice President,
Lexington, KY 40507 Bank One, Lexington, NA
Robert J. Heiple 201 East Main Street Executive Vice President,
Lexington, KY 40507 Bank One, Lexington, NA
David A. Tillery 201 East Main Street Senior Vice President,
Lexington, KY 40507 Bank One, Lexington, NA
Glenn D. Leveridge 201 East Main Street Executive Vice President,
Lexington, KY 40507 Bank One, Lexington, NA
Charles D. Christy 201 East Main Street Senior Vice President and
Lexington, KY 40507 Chief Financial Officer,
Bank One, Lexington, NA
George R. Sims 201 East Main Street Senior Vice President,
Lexington, KY 40507 Director of Human Resources,
Bank One, Lexington, NA
Susan K. Stout 201 East Main Street Executive Vice President,
Lexington, KY 40507 Bank One, Lexington, NA
Richard Lyon 201 East Main Street Vice President and Secretary,
Lexington, KY 40507 Bank One, Lexington, NA
Each of Mr. Hancock, Mr. Hancock, Ms. Hancock and Mr. Hancock is a
United States citizen and during the last five years, none of them [i] has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) nor [ii] been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and, as a result of such
proceeding, was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
ABC PARTNERSHIP
(a) Name: ABC Partnership
(b) Business Address: c/o Claiborne Farm, P.O. Box 150,
Paris, KY 40361
(c) Principal Business: Investments, primarily in equine businesses
(d) State of Organization: Kentucky
GENERAL PARTNERS OF ABC PARTNERSHIP
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Seth W. Hancock c/o Claiborne Farm Partner and Manager,
P.O. Box 150 Claiborne Farm; President,
Paris, KY 40361 Hancock Farms, Inc.
Nancy Clay Hancock P.O. Box 150 Treasurer, Hancock Farms, Inc.
Paris, KY 40361
Waddell W. Hancock, II P.O. Box 150 Director of Marketing and
Paris, KY 40361 Public Relations
Hancock Farms, Inc.
Each of Mr. Hancock, Ms. Hancock and Mr. Hancock is a United
States citizen and during the last five years, none of them [i] has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) nor [ii] been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and, as a result of such
proceeding, was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
WELLS FAMILY PARTNERSHIP
(a) Name: Wells Family Partnership
(b) Business Address: 4350 Brownsboro Road, Louisville, KY 40207
(c) Principal Business: Holder of Shares of Churchill Downs Incorporated
(d) State of Organization: Kentucky
GENERAL PARTNERS OF THE WELLS FAMILY PARTNERSHIP
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Darrell R. Wells 4350 Brownsboro Road General Partner, Security
Louisville, KY 40207 Management Company (investments)
Louis Crawford Wells 4350 Brownsboro Road Restaurant Management
Louisville, KY 40207
Wayne H. Wells 4350 Brownsboro Road Real Estate Executive
Louisville, KY 40207
Y. Peyton Wells, III 4350 Brownsboro Road Restaurant Management
Louisville, KY 40207
Bryant C. Wells 5202 Tomahawk Road Investments
Louisville, KY 40207
Darrell R. Wells is the Managing Partner of the Wells Family
Partnership. Mr. Wells is a United States citizen and during the last five
years, he has not [i] been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors) nor [ii] been a party to a civil proceeding
of a judicial or administrative body of competent jurisdiction and, as a result
of such proceeding, was or is subject to a judgment, decree or final order
enjoining future violations of, or prohibiting or mandating activities subject
to, federal or state securities laws or finding any violation with respect to
such laws.
WELLS FOUNDATION, INC.
(a) Name: Wells Foundation, Inc.
(b) Business Address: 4350 Brownsboro Road, Louisville, KY 40207
(c) Principal Business: Charitable Foundation
(d) State of Organization: Kentucky
TRUSTEES AND EXECUTIVE OFFICERS OF THE WELLS FOUNDATION, INC.
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Darrell R. Wells 4350 Brownsboro Road General Partner, Security
Louisville, KY 40207 Management Company
Louis Crawford Wells 4350 Brownsboro Road Restaurant Management
Louisville, KY 40207
All of the trustees and executive officers of the Wells
Foundation, Inc. are citizens of the United States. During the last five years,
Mr. Darrell R. Wells has not [i] been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors) nor [ii] been a party to
a civil proceeding of a judicial or administrative body of competent
jurisdiction and, as a result of such proceeding, was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
TRUSTEES U/W OF AGNES CLAY PRINGLE DECEASED 1984 -- CATESBY M. CLAY,
MCCOLL PRINGLE AND BANK ONE, LEXINGTON, NA. See above for information with
respect to Bank One, Lexington, NA.
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Catesby W. Clay 200 West Vine Street Chairman, Kentucky River Coal
Suite 8K Corporation; President,
Lexington, KY 40507 Runnymede Farm, Inc.
McColl Pringle 46 Legare Street Retired
Charleston, S.C. 29401
Each of Messrs. Clay and Pringle is a United States citizen and
during the last five years, neither of them [i] has been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) nor [ii] been
a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and, as a result of such proceeding, was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
TRUSTEES U/TRUST AGREEMENT NANCY CLAY HANCOCK -- BANK ONE, LEXINGTON,
NA, SETH W. HANCOCK AND NANCY CLAY HANCOCK. See above for information with
respect to Bank One, Lexington, NA.
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Seth W. Hancock c/o Claiborne Farm Partner and Manager, Claiborne
P.O. Box 150 Farm; President, Hancock Farms,
Paris, KY 40361 Inc.
Nancy Clay Hancock P.O. Box 150 Treasurer, Hancock Farms, Inc.
Paris, KY 40361
Each of Mr. Hancock and Ms. Hancock is a United States citizen
and during the last five years, neither of them [i] has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) nor
[ii] been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and, as a result of such proceeding, was or is subject to
a judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
TRUSTEES U/TRUST AGREEMENT WADDELL WALKER HANCOCK, II --BANK ONE,
LEXINGTON, NA, SETH W. HANCOCK AND WADDELL W. HANCOCK, II. See above for
information with respect to Bank One, Lexington, NA.
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
Seth W. Hancock c/o Claiborne Farm Partner and Manager,
P.O. Box 150 Claiborne Farm; President,
Paris, KY 40361 Hancock Farms, Inc.
Waddell W. Hancock, II P.O. Box 150 Director of Marketing and
Paris, KY 40361 Public Relations,
Hancock Farms, Inc.
Each of Mr. Hancock and Mr. Hancock is a United States citizen
and during the last five years, neither of them [i] has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) nor
[ii] been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and, as a result of such proceeding, was or is subject to
a judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities law or finding
any violation with respect to such laws.
W. BRUCE LUNSFORD FOUNDATION, INC.
[a] NAME: W. Bruce Lunsford Foundation, Inc.
[b] BUSINESS ADDRESS: 3300 Providian Center, Louisville, KY 40202
[c] PRINCIPAL BUSINESS: Charitable contributions
[d] STATE OF ORGANIZATION: Kentucky
RESIDENCE PRESENT PRINCIPAL
NAME OR BUSINESS ADDRESS OCCUPATION OR EMPLOYMENT
W. Bruce Lunsford 3300 Providian Center Chairman, President and Chief
Louisville, KY 40202 Executive Officer, Vencor, Inc.
(intensive care hospitals and
nursing homes)
Maria M. Livering 3300 Providian Center Director of Administrative Services,
Louisville, KY 40202 Vencor, Inc.(intensive care hospitals
and nursing homes)
June C. King 3300 Providian Center Assistant General Counsel, Vencor,
Louisville, KY 40202 Inc.
All of the directors and executive officers of W. Bruce Lunsford
Foundation, Inc. are citizens of the United States and during the last five
years, none of the directors or executive officers of W. Bruce Lunsford
Foundation, Inc. [i] have been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) nor [ii] been a party to a civil
proceeding of a judicial or administrative body of competent jurisdiction and,
as a result of such proceeding, was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, federal or state securities laws or finding any violation with
respect to such laws.
APPENDIX II
NUMBER OF SHARES BENEFICIALLY OWNED
(revised as of April 28, 1995)
SOLE SHARED SOLE SHARED AGGREGATE PERCENT
VOTING VOTING DISPOSITIVE DISPOSITIVE NUMBER OF
NAME OF BENEFICIAL OWNER POWER POWER POWER POWER OF SHARES CLASS
ABC Partnership (1) 9,065 -- 9,065 -- 9,065 .2
John W. Barr III 2,000 -- 2,000 -- 2,000 .1
Charles W. Bidwill, Jr. (7) 220,340 2,919 220,340 2,919 223,259 5.9
Shauna Bidwill Valenzuela(7) 1,550 -- 1,550 -- 1,550 *
Catesby W. Clay 3,000 -- 3,000 -- 3,000 .1
Catesby Clay, Jim Clay and -- 9,380 -- 9,380 9,380 .2
James G. Kennan, III,
Co-Trustees u/w J.N. Camden,
deceased 1942(2)
Catesby Clay, Jim Clay and -- 23,300 -- 23,300 23,300 .6
James G. Kennan, III,
Co-Trustees u/agreement
w/J.N. Camden(3)
Catesby Clay, McColl -- 10,950 -- 10,950 10,950 .3
Pringle and Bank
One, Lexington, NA
Co-Trustees
u/w Agnes Clay Pringle,
deceased 1984
William S. Farish 43,280 -- 43,280 -- 43,280 1.1
J. David Grissom 10,050 -- 10,050 -- 10,050 .3
Bank One, Lexington, NA, -- 79,200 -- 79,200 79,200 2.1
Seth W. Hancock, Waddell W.
Hancock, Nancy Clay
Hancock and Waddell W.
Hancock, II
Co-Trustee u/w A.B.
Hancock, deceased
9/14/72
Seth W. Hancock, -- 9,030 -- 9,030 9,030 .2
Nancy Clay Hancock and
Bank One, Lexington, NA
u/agreement Nancy Clay
Hancock
Seth W. Hancock, -- 9,030 -- 9,030 9,030 .2
Waddell W. Hancock, II
and Bank One,
Lexington, NA
u/agreement Waddell
Walker Hancock, II
Seth W. Hancock 36,500 -- 36,500 -- 36,500 1.0
SOLE SHARED SOLE SHARED AGGREGATE PERCENT
VOTING VOTING DISPOSITIVE DISPOSITIVE NUMBER OF
NAME OF BENEFICIAL OWNER POWER POWER POWER POWER OF SHARES CLASS
Louis J. Herrmann, Jr. 40,065 -- 40,065 -- 40,065 1.1
Frank B. Hower Jr. 1,040 -- 1,040 -- 1,040 *
Stanley F. Hugenberg, Jr. 3,670 -- 3,670 -- 3,670 .1
Harriet S. Jones 10,000 -- 10,000 -- 10,000 .3
Mina Jones Cox 8,570 -- 8,570 -- 8,570 .2
Edna Veeneman Lewis 5,660 -- 5,660 -- 5,660 .1
W. Bruce Lunsford 100,030 -- 90,030 10,000 100,030 2.6
W. Bruce Lunsford
Foundation, Inc. -- -- -- 10,000 --
Thomas H. Meeker(3) 29,437 -- 29,437 -- 29,437 .8
Carl F. Pollard 73,040 -- 73,040 -- 73,040 1.9
Robert Veeneman 4,280 -- 4,280 -- 4,280 .1
Wells Family 210,530 -- 210,530 -- 210,530 5.5
Partnership(4)
Wells Foundation, Inc. 22,400 -- 22,400 -- 22,400 .6
Mary Louise Whitney(5) 128,000 -- 128,000 -- 128,000 3.4
William T. Young 114,660 -- 114,660 -- 114,660 3.0
TOTAL 1,219,426 32.1(6)
* Less than .05 percent
(1) A general partnership formed under Kentucky law in which the partners are Seth A.
Hancock, Waddell W. Hancock, II and Nancy Clay Hancock.
(2) Held of record by CINAG, as nominee.
(3) The total shares of Thomas H. Meeker include 16,900 shares not issued,
but which are issuable upon exercise of certain stock options held by Mr.
Meeker, and 717 shares issuable to Mr. Meeker under the Company's
Incentive Compensation Plan.
(4) A general partnership formed under Kentucky law in which the partners are Darrell R.
Wells, Louis Crawford Wells, Wayne H. Wells, Y. Peyton Wells, III, and Bryant C. Wells.
(5) Held of record by Kingsley & Co., as nominee.
(6) Based on total outstanding shares of 3,783,318 and shares beneficially
owned but not outstanding with respect to a Reporting Person. See Note 3
above.
(7) The 1,550 shares held by Shauna Bidwill Valenzuela are included in the aggregate
number of shares held by Charles W. Bidwill, Jr.
