UNITED STATES FORM 144 |
OMB APPROVAL |
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OMB Number 3235-0101 |
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Expires: August 31, 2003 |
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Estimated average burden |
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NOTICE OF PROPOSED SALE OF SECURITIES ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale |
SEC USE ONLY |
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DOCUMENT SEQUENCE NO. |
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CUSIP NUMBER |
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WORK LOCATION |
1 (a) NAME OF ISSUER (Please type or print) |
(b) IRS IDENT. NO. |
(c) S.E.C. FILE NO. |
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE |
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500 West Main Street, Louisville, KY 40202 |
(e) TELEPHONE |
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AREA CODE |
NUMBERS |
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2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
(b) IRS IDENT. NO. |
(c) RELATIONSHIP TO ISSUER |
(d) ADDRESS STREET CITY STATE ZIP CODE Louisville, KY 40202 |
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the S.E.C. File Number |
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3 Title of the (a) Class of Securities To Be Sold |
(b) Name and Address of Each |
SEC USE ONLY |
(c) Number of Shares |
(d) Aggregate |
(e) Number of Shares |
(f) Approximate Date MO. DAY YR.) |
(g) Name of Each |
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Broker-Dealer |
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Common |
Merrill Lynch Pierce Fenner & Smith UBSPaine Webber Inc. |
240,000 (1) |
$3,600,000 |
169,274,991 |
June 3, 2002 |
NYSE |
INSTRUCTIONS: (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code |
3. (a) Title of the class of securities to be sold (b) Name and Address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold |
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2. (a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing (d) Such persons's address, including zip code |
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Form 144 |
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Page 1 of 2 |
TABLE - SECURITIES TO BE SOLD |
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Title of the Class |
Date you Acquired |
Nature of Acquisition Transaction |
Name of the Person from Whom Acquired (if gift, also give date donor acquired |
Amount of Securities Acquired |
Date of Payment |
Nature of Payment |
Common |
3/12-23/1993 |
Open Market Purchase |
Through Broker Transaction |
480,000 |
3/12-23/1993 |
Cash |
Common |
03/1-23/1993 |
Open Market Purchase |
Through Broker Transaction |
470,696 |
3/12-23/1993 |
Cash |
Common |
10/05/1999 |
Open Market Purchase |
Through Broker Transaction |
9,304 |
10/05/1999 |
Cash |
INSTRUCTIONS:
1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.
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TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS (1) |
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Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of Securities Sold |
Gross Proceeds |
David A. Jones |
Common |
March 4, 2002 |
80,000 |
$1,055,144 |
David A. Jones |
Common |
April 1, 2002 |
80,000 |
$1,044,000 |
David A. Jones |
Common |
May 1, 2002 |
80,000 |
$1,304,320 |
REMARKS: (1) The 240,000 shares disclosed in Item 3 on Page 1 and in Table II are the subject of Section 10b5-1 Trading Plans ("Plans"). The Reporting Person through one of the brokers will sell up to 80,000 shares per month. The brokers will alternate months with Merrill Lynch , Pierce, Fenner & Smith which began in March 2002, and UBSPaineWebber Inc. which began in April 2002. The 240,000 shares are the maximum number of shares to be sold during a three month period. The Plans are scheduled to terminate no later than February 28, 2003 subject to earlier termination per the provisions as set out in the Plans. |
INSTRUCTIONS: |
ATTENTION: |
See the definition of "person" in paragraph (a) 9 of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed. |
May 31, 2002 |
/s/ David A. Jones |
DATE OF NOTICE |
(SIGNATURE) |
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DAVID A. JONES |
This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute |