SEC Form 4 · accession 0000919574-15-006394

SEARS HOLDINGS CORP · SHLD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Aug 13, 2015

Accepted (ET)

Aug 17, 2015 · 5:16 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 Shares, $.01 par value^F3	Aug 14, 2015	S	15,000	$24.77	D	26,558,448	I	See Footnote
Common Shares, $.01 par value^F3	Aug 14, 2015	S	46,450	$24.95	D	26,511,998	I	See Footnote
Common Shares, $.01 par value^F3	Aug 14, 2015	P	13,000	$24.83	A	26,524,998	I	See Footnote
Common Shares, $.01 par value^F3	Aug 14, 2015	P	48,450	$24.99	A	26,573,448	I	See Footnote
Common Shares, $.01 par value	holding	—	—		—	71,700	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants to Purchase Common Stock, par value $0.01^F3	$25.686	Aug 13, 2015	P	900	A	Nov 18, 2014	Dec 15, 2019	Common Stock, par value $0.01	900	6,497,268	I
Warrants to Purchase Common Stock, par value $0.01^F3	$25.686	Aug 14, 2015	P	53,747	A	Nov 18, 2014	Dec 15, 2019	Common Stock, par value $0.01	53,747	6,551,015	I
Warrants to Purchase Common Stock, par value $0.01^F3	$25.686	Aug 14, 2015	P	70	A	Nov 18, 2014	Dec 15, 2019	Common Stock, par value $0.01	70	6,551,085	I
Warrants to Purchase Common Stock, par value $0.01^F3	$25.686	Aug 14, 2015	P	2,079	A	Nov 18, 2014	Dec 15, 2019	Common Stock, par value $0.01	2,079	6,553,164	I
Warrants to Purchase Common Stock, par value $0.01^F3	$25.686	Aug 17, 2015	P	4,093	A	Nov 18, 2014	Dec 15, 2019	Common Stock, par value $0.01	4,093	6,557,257	I
Warrants to Purchase Common Stock, par value $0.01	$25.686	holding	—	—	—	Nov 18, 2014	Dec 15, 2016	Common Stock, par value $0.01	0	14,801	D

F1The securities are held in a private fund managed indirectly by Mr. Bruce R. Berkowitz (the "Reporting Person"). The Reporting Person disclaims beneficial ownership in the private fund except to the extent of his pecuniary interest, if any, therein.
F2The securities sold and repurchased are held in an account managed indirectly by the Reporting Person and were transacted in pursuant to client instructions. The Reporting Person does not have any direct or indirect pecuniary interest in the managed account because the Reporting Person (i) does not receive any incentive compensation from the managed account and (ii) does not have a direct or indirect interest in the managed account.
F3The securities may be deemed to be beneficially owned by the Reporting Person because he controls the sole member of a registered investment adviser, which may be deemed to have beneficial ownership of the securities because it serves as the investment manager to a registered investment company and certain private funds and managed accounts. The Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.