SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Lampert Edward S, et al. – ‘4’ for 5/10/19 re: Sears Holdings Corp.

On:  Tuesday, 5/14/19, at 5:29pm ET   ·   For:  5/10/19   ·   Accession #:  899243-19-13485   ·   File #:  1-36693

Previous ‘4’:  ‘4’ on 5/14/19 for 5/10/19   ·   Next:  ‘4’ on 5/14/19 for 5/10/19   ·   Latest:  ‘4’ on 4/3/24 for 4/1/24

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/14/19  Lampert Edward S                  4                      3:23K  Sears Holdings Corp.              Donnelley Fin’l S… 06/FA
          Esl Partners, L.P.
          SPE I Partners, L.P.
          SPE Master I, L.P.
          RBS Partners, L.P.
          Esl Investments, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      4K 
 2: EX-99.1     EX-99.1 Document                                    HTML     11K 
 3: EX-99.2     EX-99.2 Document                                    HTML      8K

‘4’   —   Form 4 Submission — doc4.xml/3.6



        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Form 4 Submission
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
LAMPERT EDWARD S
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
SEARS HOLDINGS CORP [ SHLD ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
5/10/19
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock, par value $0.01 per share 5/10/19J 3,837,788 (1)D$0.0016,354,726ISee Footnotes (2) (3) (4) (5) (6)
Common Stock, par value $0.01 per share 32,348,223D (2) (3) (4) (5)
Common Stock, par value $0.01 per share 150,124ISee Footnotes (2) (3) (4) (5) (7)
Common Stock, par value $0.01 per share 193,341ISee Footnotes (2) (3) (4) (5) (8)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
1. Name and Address of Reporting Person*
LAMPERT EDWARD S
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
1. Name and Address of Reporting Person*
ESL PARTNERS, L.P.
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
1. Name and Address of Reporting Person*
SPE I Partners, L.P.
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
1. Name and Address of Reporting Person*
SPE Master I, L.P.
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
1. Name and Address of Reporting Person*
RBS PARTNERS, L.P.
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
1. Name and Address of Reporting Person*
ESL INVESTMENTS, INC.
(Last)(First)(Middle)
1170 KANE CONCOURSE, SUITE 200
(Street)
BAY HARBOR ISLANDSFL33154
(City)(State)(Zip)
Explanation of Responses:
(1)  Represents shares of common stock of Sears Holdings Corporation (the "Issuer"), par value $0.01 per share ("Shares") that were distributed by ESL Partners, L.P. ("Partners") on a pro rata basis to certain limited partners that elected in 2018 to redeem all or a portion of their interest in Partners.
(2)  This statement is jointly filed by and on behalf of each of Edward S. Lampert, Partners, SPE I Partners, LP ("SPE I"), SPE Master I, LP ("SPE Master I"), RBS Partners, L.P. ("RBS"), and ESL Investments, Inc. ("ESL"). Mr. Lampert, Partners, SPE I, and SPE Master I are the direct beneficial owners of the securities covered by this statement.
(3)  RBS is the general partner of, and may be deemed to beneficially own securities owned by, Partners, SPE I, and SPE Master I. Mr. Lampert is a limited partner of, and may be deemed to beneficially own certain securities owned by, RBS. ESL is the general partner of, and may be deemed to beneficially own securities owned by, RBS. Mr. Lampert is the Chairman, Chief Executive Officer, and Director of, and may be deemed to beneficially own securities owned by, ESL.
(4)  The reporting persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, the beneficial owners of any securities covered by this statement. The reporting persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities.
(5)  The reporting persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Exchange Act. The reporting persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
(6)  Represents Shares directly beneficially owned by Partners.
(7)  Represents Shares directly beneficially owned by SPE I.
(8)  Represents Shares directly beneficially owned by SPE Master I.
Remarks:
Exhibit Index Exhibit 99.1 - Joint Filer Information (filed herewith) Exhibit 99.2 - Joint Filing Agreement (filed herewith)
EDWARD S. LAMPERT, By: /s/ Edward S. Lampert 5/14/19
ESL PARTNERS, L.P., By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer 5/14/19
SPE I PARTNERS, LP, By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer 5/14/19
SPE MASTER I, LP, By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer 5/14/19
RBS PARTNERS, L.P., By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer 5/14/19
ESL INVESTMENTS, INC., By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer 5/14/19
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    J    Other acquisition or disposition.

↑Top
Filing Submission 0000899243-19-013485   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Thu., Apr. 25, 6:32:36.2pm ET