SEC Form 4 · accession 0000919574-15-006408
SEARS HOLDINGS CORP · SHLD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce R Berkowitz
10% Owner
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 6:08 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 valueF2 | Aug 18, 2015 | P | 5,000 | $24.00 | A | 26,578,448 | I | See Footnote |
| Common Shares, $.01 par value | holding | — | — | — | 71,700 | D |
Table II — derivative securities
| 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 $0.01F2 | $25.686 | Aug 18, 2015 | P | 920 | A | Nov 18, 2014 | Dec 15, 2019 | Common Stock, par value $0.01 | 920 | 6,558,177 | I |
| Warrants to Purchase Common Stock, par value $0.01F2 | $25.686 | Aug 19, 2015 | P | 1,517 | A | Nov 18, 2014 | Dec 15, 2019 | Common Stock, par value $0.01 | 1,517 | 6,559,694 | I |
| Warrants to Purchase Common Stock, par value $0.01F2 | $25.686 | Aug 20, 2015 | P | 3,313 | A | Nov 18, 2014 | Dec 15, 2019 | Common Stock, par value $0.01 | 3,313 | 6,563,007 | I |
| Warrants to Purchase Common Stock, par value $0.01 | $25.686 | holding | — | — | — | Nov 18, 2014 | Dec 15, 2019 | Common Stock, par value $0.01 | 0 | 14,801 | D |
Explanation of responses
- 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 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.