13D Filing: ESL Partners and Sears Hometown & Outlet Stores, Inc. (SHOS)

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Page 5 of 10 SEC Filing


CUSIP No. 812362101
  1. 

Names of
Reporting Persons.

Edward S. Lampert

  2.

Check the Appropriate Box if a Member
of a Group (See Instructions)

(a)  þ        (b)  ¨

  3.

SEC Use Only

  4.

Source of Funds (See Instructions)

OO; PF

  5.

Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)  ¨

  6.

Citizenship or Place of
Organization

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

  7. 

Sole Voting Power

11,520,423

  8.

Shared Voting Power

0

  9.

Sole Dispositive Power

4,771,352

10.

Shared Dispositive Power

6,749,071

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

11,520,423

12.

Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)  ¨

13.

Percent of Class Represented by Amount
in Row (11)

50.7% (1)

14.

Type of Reporting Person (See
Instructions)

IN

(1) Based upon 22,721,560 shares of Common Stock outstanding as of December 1, 2015, as disclosed in the Issuers Quarterly Report on Form 10-Q for the quarter ended October 31, 2015 that was filed by the
Issuer with the Securities and Exchange Commission on December 4, 2015.

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