Filing Details
- Accession Number:
- 0000919574-14-007013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-12 20:22:32
- Reporting Period:
- 2014-11-24
- Filing Date:
- 2014-12-12
- Accepted Time:
- 2014-12-12 20:22:32
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1310067 | Sears Holdings Corp | SHLD | Retail-Department Stores (5311) | 201920798 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1214344 | R Bruce Berkowitz | C/O Fairholme Capital Management, L.l.c. 4400 Biscayne Boulevard, 9Th Floor Miami FL 33137 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Shares, $.01 Par Value | Acquisiton | 2014-12-10 | 8,000 | $32.31 | 25,654,273 | No | 4 | P | Indirect | See Footnote |
Common Shares, $.01 Par Value | Acquisiton | 2014-12-11 | 7,000 | $32.04 | 25,661,273 | No | 4 | P | Indirect | See Footnote |
Common Shares, $.01 Par Value | Disposition | 2014-12-12 | 14,600 | $31.99 | 25,646,673 | No | 4 | S | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2014-11-24 | 20,100 | $18.00 | 20,100 | $28.41 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2014-11-24 | 74,900 | $18.00 | 74,900 | $28.41 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2014-11-24 | 25,000 | $18.00 | 25,000 | $28.41 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2014-12-03 | 300 | $18.00 | 300 | $28.41 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2014-12-04 | 1,500 | $18.00 | 1,500 | $28.41 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Disposition | 2014-12-12 | 3,009 | $20.11 | 3,009 | $28.41 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,698,272 | 2014-11-18 | 2019-12-15 | No | 4 | P | Direct |
4,691,592 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
4,716,592 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
4,716,892 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
4,718,392 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
4,715,383 | 2014-11-18 | 2019-12-15 | No | 4 | S | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares, $.01 Par Value | 913,000 | Direct |
Footnotes
- The securities may be deemed to be beneficially owned by Mr. Bruce R. Berkowitz (the "Reporting Person") as the managing 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.
- The securities were held in an account managed indirectly by the Reporting Person and were sold pursuant to client instructions due to an account closure.