SEC Form 4 · accession 0000899243-17-015252
SEARS HOLDINGS CORP · SHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric D Jaffe
Officer — SVP, Shop Your Way
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 12:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001310067
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 1, 2017 | M | 3,168 | — | A | 5,029 | D | |
| Common Stock | Jun 1, 2017 | F | 1,224 | $7.55 | D | 3,805 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Jun 1, 2017 | M | 3,168 | D | — | — | Common Stock | 3,168 | 3,168 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On June 1, 2015, the reporting person was granted 9,503 restricted stock units, vesting in three annual installments of 3,167 shares, 3,168 shares, and 3,168 shares beginning on the first anniversary of the grant date.