Accession Number: | 0000899243-18-025854 |
Date: | 2018-09-28 |
Issuer: | SEARS HOLDINGS CORP (SHLD) |
Original Submission Date: |
LAMPERT EDWARD S
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
ESL PARTNERS, L.P.
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
SPE I PARTNERS, L.P.
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
SPE MASTER I, L.P.
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
RBS PARTNERS, L.P.
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
ESL INVESTMENTS, INC.
1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL 33154
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2018-09-28 | A | 159,574 | a | $0.00 | 33,675,360 f5 | direct | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2018-09-28 | 0 | $0.00 | 20,192,514 | indirect | f6 | |||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2018-09-28 | 0 | $0.00 | 150,124 | indirect | f7 | |||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2018-09-28 | 0 | $0.00 | 193,341 | indirect | f8 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | represents shares of common stock of sears holdings corporation (the "issuer"), par value $0.01 per share ("shares"), granted to edward s. lampert under sears holdings corporation 2013 stock plan, as amended. |
f2 | this statement is jointly filed by and on behalf of each of mr. lampert, esl partners, l.p. ("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. |
f3 | 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. |
f4 | 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. |
f5 | 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. |
f6 | represents shares directly beneficially owned by partners. |
f7 | represents shares directly beneficially owned by spe i. |
f8 | represents shares directly beneficially owned by spe master i. |