UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 5)
Churchill Downs Incorporated
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, No Par Value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
171484 10 8
- --------------------------------------------------------------------------------
(CUSIP Number)
Thomas H. Meeker, President 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 18, 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 Page 2 of 55
CUSIP No. 171484 10 8
=========================================================================
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 -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
9,065
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
9,065
- -------------------------------------------------------------------------
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
=========================================================================
13D Page 3 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 4 of 55
CUSIP No. 171484 10 8
=========================================================================
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
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 219,340
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
2,919
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
219,340
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,919
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
222,259
- -------------------------------------------------------------------------
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 5 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 6 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN and OO
=========================================================================
13D Page 7 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 8 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 9 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 10 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
James W. Phillips
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 17,990
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
-0-
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
17,990
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
17,990
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.5%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 11 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
Joan G. Phillips
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 19,530
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
-0-
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
19,530
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
19,530
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.5%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 12 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 13 of 55
CUSIP No. 171484 10 8
=========================================================================
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 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
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
BK
=========================================================================
13D Page 14 of 55
CUSIP No. 171484 10 8
=========================================================================
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
88,230 See Appendix II
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,230 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
88,230
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.3%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 15 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN and OO
=========================================================================
13D Page 16 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 17 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
Waddell W. Hancock, II, as a Co-Trustee, u/w 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
88,230 See Appendix II
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,230 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
88,230
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.3%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
=========================================================================
13D Page 18 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 19 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 20 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
Estate of Warner L. Jones, 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 -0-
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
73,000 See Appendix II
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
73,000 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
73,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
1.9%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 21 of 55
CUSIP No. 171484 10 8
=========================================================================
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
73,000 See Appendix II
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
10,000
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
73,000 See Appendix II
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
83,000
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
2.2%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 22 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 23 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 24 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 25 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 26 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 27 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
=========================================================================
13D Page 28 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
=========================================================================
13D Page 29 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 30 of 55
CUSIP No. 171484 10 8
=========================================================================
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 31 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
PNC Bank, Kentucky, Inc. u/a Warner L. J. Jones dated 9/6/85
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 1,000
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
-0-
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
1,000
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
1,000
- -------------------------------------------------------------------------
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
BK
=========================================================================
13D Page 32 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
James S. Karp
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 37,720
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
34,890
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
37,720
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
34,890
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
72,610
- -------------------------------------------------------------------------
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 33 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
Irene J. Karp
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
34,890
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
-0-
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
34,890
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
34,890
- -------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
.9%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
=========================================================================
13D Page 34 of 55
CUSIP No. 171484 10 8
=========================================================================
1 NAME OF REPORTING PERSON
Louisville Public Warehouse Company
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 45,900
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------------
8 SHARED VOTING POWER
-0-
------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
45,900
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
45,900
- -------------------------------------------------------------------------
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%
- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
=========================================================================
AMENDMENT No. 5
THIS AMENDMENT No. 5 to the Amendment No. 4 to Schedule 13D dated
December 22, 1994 (the "Amendment No. 4") and to the Amendment No. 3 to
Schedule 13D dated March 1, 1994 (the "Amendment No. 3") and to the Amendment
No. 2 to Schedule 13D dated March 12, 1993 (the "Amendment No. 2") and to
the Amendment No. 1 to the Schedule 13D dated April 3, 1992 (the "Amendment
No. 1") and to the Schedule 13D dated January 7, 1992 (the "Schedule 13D"),
which were filed with the Securities and Exchange Commission by certain
Reporting Persons and relate to the shares of common stock, no par value (the
"Shares") of Churchill Downs Incorporated (the "Company"), hereby amends and
restates the Schedule 13D, as heretofore amended, in its entirety.
Item 1. Security and Issuer. The title of the class of equity
securities to which this Statement relates is:
Common stock, no par value (the "Shares"), of Churchill Downs
Incorporated (the "Company").
The name and address of the principal executive offices of the issuer of
such securities are:
Churchill Downs Incorporated
700 Central Avenue
Louisville, Kentucky 40208
The Company is a Kentucky corporation.
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"). This Amendment is being filed to reflect the termination of the
Agreement (hereinafter defined) entered into by the Reporting Persons. The
Reporting Persons hold or have an interest in an aggregate of 1,265,081 Shares,
representing, as of the date hereof, approximately 33.3% of the Shares
outstanding. The Reporting Persons entered into an Amended Second Supplemental
Stockholder Agreement effective as of January 7, 1992 (the "Agreement"), which
Agreement was terminated as of April 18, 1995. Subsequent to the date of
Amendment No. 4, the number of shares owned by certain Reporting Persons has
changed. Appendix II attached hereto has been revised to state the number of
shares currently owned. 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 have been
deemed to constitute a "group" for purposes of section 13(d)(3) of the
Securities Exchange Act of 1934, as amended, by reason of their having executed
the Agreement (as described in Item 6 and as filed as Exhibit 1 to the Schedule
13D). 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 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. No purchase of
Shares by any Reporting Person is being reported herein and information
concerning the source and amount of funds or other consideration with respect to
prior purchases is not regarded as material.
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 the 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. 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 Agreement. The 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. As of April 18, 1995,
the Agreement was terminated by consent of the holders of two-thirds (2/3) of
the shares subject to such Agreement who simultaneously entered into a Third
Supplemental Stockholder Agreement. Each of the original Stockholder Agreement,
the Supplemental Stockholder Agreement, the Second Supplemental Stockholder
Agreement and the Agreement provided that no signatory to the Stockholder
Agreements could 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 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 was not restricted under the Agreement. In addition, under the terms of
the Agreement, which provided for a right of first refusal in the Company, and
then within the group constituting the Reporting Persons, it was contemplated
that at some point, by operation of the Agreement, the number of Shares held by
the Reporting Persons individually would change although such change would not
affect the amount held by all Reporting Persons.
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, although certain individual Reporting Persons have indicated an interest
in purchasing additional Shares as they become available; [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 Reporting Person reserves the right to formulate
such plans or proposals, 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 of the
Company, each Reporting Person executed the Agreement solely in such Reporting
Person's capacity as a stockholder of the Company. The Company, through its
Board of Directors, approved the Agreement for the purpose of making the Company
a third party beneficiary to the Agreement.
Item 5. Interest and Securities of the Issuer.
(a) As of April 18, 1995, the Reporting Persons beneficially
owned 1,265,081 Shares or approximately 33.3% of the 3,783,318 Shares
outstanding as of 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 18, 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 the filing of Amendment No. 4 on December 22, 1994, the
following transactions have been effected which have not previously been
reported on an amended Schedule 13D:
(i) On March 23, 1994, the Estate of C. V. Whitney transferred 128,000
Shares to Mary Louise Whitney pursuant to Mr. Whitney's will and all of these
Shares remained subject to the terms of the Agreement; (ii) Since December 22,
1994, the Estate of Warner L. Jones, Jr. has sold Shares in the following
manner:
Date # of Shares Sales Price/Share Type of Transaction
January 6, 1995 3,000 $42.50 Open Market
February 21, 1995 3,000 $44.00 Open Market
March 20, 1995 3,000 $44.00 Open Market
April 10, 1995 3,000 $43.50 Open Market
(iii) On December 5, 1994, Edna Veeneman Lewis sold 600 Shares at a sales
price of $42.50 per share in an open market transaction;
(iv) On December 31, 1994, James W. Phillips disposed of 700 shares by
gift;
(v) On February 9, 1995, Edna Veeneman Lewis sold 1,000 Shares at a sales
price of $44.75 per share in an open market transaction; and
(vi) On March 16,
1995, the Company's Board of Directors awarded Thomas H. Meeker 717 Shares
issuable pursuant to the Company's Incentive Compensation Plan; and
(vii) On April 13, 1995, Charles W. Bidwill, Jr. purchased 1,000 Shares
at a purchase price of $45.00 in an open market transaction.
(d) Except as set forth in Item 5(b), no person 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) Effective as of April 18, 1995, the Agreement was terminated and
simultaneously, certain of the Reporting Persons and other stockholders of the
Company beneficially owning 1,196,146 Shares, or approximately 31.5% of the
Shares outstanding, entered into a Third Supplemental Stockholder Agreement.
Such persons filed a separate Schedule 13D with the SEC on April 25, 1995 with
respect to such Third Supplemental Stockholder Agreement, to which reference is
made for a more complete statement of the terms and provisions thereof,
and which Schedule 13D is incorporated herein by reference.
Item 6. Contracts, Arrangements, Understandings or Relationships With
Respect to Securities of the Issuer. As of January 7, 1992, the Agreement among
the Reporting Persons became effective. The Agreement provided that as to Shares
now owned or later acquired by any signatory to the Agreement, the holder of
such Shares would not transfer the Shares without complying with the Agreement
except in the following instances: [a] pursuant to an offer to acquire all of
the outstanding Shares of the Company which the Board of Directors of the
Company has recommended and which an independent financial advisor retained by
the Company has determined to be fair from a financial point of view; [b] by
operation of law; [c] by gift, will or pursuant to the laws of descent and
distribution; [d] by pledge to a financial institution; or [e] in a small
transaction which was defined to mean the transfer of not more than 3,000 Shares
in any calendar month. Except in these instances, a Reporting Person was not
allowed to transfer or agree to commit to transfer his or her Shares without
first offering to sell such Shares to the Company, and then to all other
signatories to the Agreement, on the same terms and conditions as the proposed
transfer. In the event the other signatures to the Agreement desired to purchase
more than the number of Shares offered for sale by the Reporting Person or the
Shares remaining after acquisition by the Company, the Agreement provided for
proration of purchase of the Shares among the signatories to the Agreement who
desired to purchase Shares. If all of the Shares offered for sale by the
Reporting Person were not purchased by the Company and/or the other parties to
the Agreement, the Shares could be sold in accordance with the bona fide offer
received by the Reporting Person. Any stockholder of the Company could become a
party to the Agreement by executing the Agreement. The Company was a third party
beneficiary of the Agreement.
Under the Agreement, a Reporting Person's right to vote his or her
shares, to receive cash dividends or to receive dividends payable in stock or
receive Shares in a stock split, or to sell or dispose of Shares therein was not
restricted except as specifically set forth therein.
Item 7. Materials to be Filed as Exhibits.
Exhibit 1 - Form of Amended Second Supplemental Stockholder Agreement as of
January 7, 1992 is incorporated by reference to the Schedule 13D filed with
the Securities and Exchange Commission on or about January 7, 1992.
Exhibit 2 - Promissory Note dated December 20, 1994, between James S. Karp
and Liberty National Bank and Trust Company of Kentucky is incorporated by
reference to the Amendment No. 4 to the Schedule 13D filed with the Securities
and Exchange Commission on January 5, 1995.
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 12, 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 Amended Second 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 previously filed with the SEC and is retained in the files of the
Company.
APPENDIX I
(revised as of April 18, 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 President and General
Race Track Manager, National Jockey
3301 South Laramie Ave. Club (operator of
Cicero, IL 60650 Sportsman's Park Race Track)
Shauna Bidwill Valenzuela 2424 Myrtle Avenue Housewife
Hermosa Beach, CA 90254
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)
James W. Phillips 180 East Broad Street Associate Member,
Columbus, OH 43215 The Galbreath Company
(realtor and builder)
Joan G. Phillips 180 East Broad Street Housewife
Columbus, OH 43215
J. David Grissom 400 West Market Street Chairman, Mayfair Capital
Louisville, KY 40202 (private investment firm)
Seth W. Hancock c/o Claiborne Farm Partner and Manager, Claiborne Farm;
P. O. Box 150 President, Hancock Farms, Inc.
Paris, KY 40361
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, Jackmanton Sales
Fort Mitchell, KY 41011 Company (manufacturer's representative)
Estate of Warner L. Jones, c/o Hermitage Farm, Inc. Former owner, Hermitage Farm, Inc.
Goshen, KY 40026 (thoroughbred breeding and farming)
Harriet S. Jones c/o Hermitage Farm, Inc. Housewife
Goshen, KY 40026
Mina Jones Cox 4600 Tingle Lane Housewife
Westport, KY 40077
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 leasing)
Sarasota, FL 34242
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)
James S. Karp 4500 Progress Blvd. Chairman and President, Louisville
P.O. Box 18230 Public Warehouse Company
Louisville, KY 40218
Irene J. Karp 10 Overbrook Road Housewife
Louisville, KY 40207
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;
Lexington, KY 40507 President, Runnymede Farm, Inc.
Jim Clay P.O. Box 197 Farmer
Paris, KY 40361
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 has [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 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 Farms, Inc.
Paris, KY 40361
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
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
William B. Sturgill 1256 Old Frankfort Pike President, East Kentucky
Lexington, KY 40504 Investment Co., Inc.
William T. Young, Jr. P.O. Box 1110 President, W.T. Young Co., Inc.
Lexington, KY 40589
Gary D. Bello 727 Mallard Bay President, Clark Material
Lexington, KY 40502 Handling Co.
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
Dr. Lee T. Todd, Jr. 3191 Nicholasville Road, President and Chief
Suite 1600 Executive Officer,
Lexington, KY 40503 Data-Beam Corp.
William H. Wilson 4817 Chaffey Lane Deputy Executive Director
Lexington, KY 40515 for Marketing, Kentucky
Educational Television
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,
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 has [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.
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 has [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 proceed-
ing, 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 [i] not 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.
Trustee u/a Warner L.J. Brown
[a] Name: PNC Bank, Kentucky, Inc.
[b] Business Address: Citizens Plaza, Louisville, Kentucky 40202
[c] Principal Business: Bank
[d] State of Organization: Kentucky
The executives of PNC Bank, Kentucky, Inc., Trustee, who are
ultimately responsible for voting decisions concerning the Shares are as
follows:
Residence Present Principal
Name or Business Address Occupation or Employment
James B. Moore, Jr. PNC Bank, Kentucky, Inc. Vice President, PNC Bank,
Citizens Plaza Kentucky, Inc.
Louisville, KY 40202
Mr. Moore 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.
Trustees u/w of Agnes Clay Pringle deceased January 15, 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;
Lexington, KY 40507 President, 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, none of them has [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/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 has [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/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 has [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 law or finding
any violation with respect to such laws.
Louisville Public Warehouse Company
(a) Name: Louisville Public Warehouse Company
(b) Business Address: 4500 Progress Blvd., P.O. Box 18230,
Louisville, Kentucky 40218
(c) Principal Business: Public Warehousing
(d) State of Organization: Kentucky
Directors and Executive Officers of Louisville Public Warehouse Company
Name Residence or Present Principal
Business Address Occupation or Employment
James S. Karp 4500 Progress Blvd. Chairman and President,
P. O. Box 18230 Louisville Public Warehouse
Louisville, Kentucky 40218 Company
Juliet S. Karp 4500 Progress Blvd. Vice Chairman, Louisville
P. O. Box 18230 Public Warehouse
Louisville, Kentucky 40218 Company
Cynthia M. Woerner 4500 Progress Blvd. Senior Vice President and
P. O. Box 18230 Chief Financial Officer
Louisville, Kentucky 40218 Louisville Public Warehouse
Company
Daniel A. Thomas 4500 Progress Blvd. Senior Vice President,
P. O. Box 18230 Louisville Public Warehouse
Louisville, Kentucky 40218 Company
Each of Mr. and Ms. Karp, Ms. Woerner and Mr. Thomas is a United States
citizen and during the last five years, none of them has [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.
APPENDIX II
NUMBER OF SHARES BENEFICIALLY OWNED
(revised as of April 18, 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.(8) 219,340 2,919 219,340 2,919 222,259 5.9
Shauna Bidwill Valenzuela (8) 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(2)
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
James W. Phillips 17,990 -- 17,990 -- 17,990 .5
Joan G. Phillips 19,530 -- 19,530 -- 19,530 .5
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
1972
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 and
Trust Company of
Lexington, KY
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
Frank B. Hower Jr. 1,040 -- 1,040 -- 1,040 *
Stanley F. Hugenberg, Jr. 3,670 -- 3,670 -- 3,670 .1
Estate of Warner L.
Jones, Jr.(3) -- 73,000 -- 73,000 -- --
Harriet S. Jones(3) 10,000 73,000 10,000 73,000 83,000 2.2
Mina Jones Cox 8,570 -- 8,570 -- 8,570 .2
Thomas H. Meeker(9) 29,437 -- 29,437 -- 29,437 .8
Carl F. Pollard 73,040 -- 73,040 -- 73,040 1.9
Edna Veeneman Lewis 5,660 -- 5,660 -- 5,660 .1
Robert Veeneman 4,280 -- 4,280 -- 4,280 .1
Wells Family 210,530 -- 210,530 -- 210,530 5.6
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
PNC Bank, Kentucky, 1,000 -- 1,000 -- 1,000 *
Inc., Trustee u/a
Warner L.J. Brown
dtd. 9/6/85
James S. Karp(7) 37,720 34,890 37,720 34,890 72,610 1.9
Irene J. Karp(7) -- 34,890 -- 34,890 -- .9
Louisville Public Warehouse 45,900 -- 45,900 -- 45,900 1.2
Company (7)
TOTAL 1,265,081(9) 33.3(6)
* Less than .05 percent
(1) A general partnership found under Kentucky law in which the partners are Seth A.
Hancock, Waddell Walker Hancock, II and Nancy Clay Hancock.
(2) Held of record by CINAG, as nominee.
(3) Estate of Warner L. Jones, Jr. and Harriet S. Jones share voting and disposition power
over a total of 83,000 shares.
(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 9
below.
(7) James S. Karp and Irene J. Karp have shared voting and disposition power over a total
of 34,890 shares. Louisville Public Warehouse Company is owned by James S. Karp.
(8) The 1,550 shares held by Shauna Bidwill Valenzuela are included in the aggregate
number of shares held by Charles W. Bidwill, Jr.
(9) The total shares of Thomas H. Meeker include 16,900 shares not issued,
but which are issuable upon exercise of certain stock options by Mr.
Meeker, and 717 shares issuable to Mr. Meeker under the Company's
Incentive Compensation Plan.
