Filing Details
- Accession Number:
- 0000919574-15-007163
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-10-02 17:23:14
- Reporting Period:
- 2015-09-30
- Filing Date:
- 2015-10-02
- Accepted Time:
- 2015-10-02 17:23:14
- 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 | 2015-09-30 | 7,200 | $22.64 | 26,578,448 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | 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 | 2015-09-30 | 10,451 | $17.95 | 10,451 | $25.69 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2015-10-01 | 316 | $17.96 | 316 | $25.69 |
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | Acquisiton | 2015-10-02 | 100 | $18.00 | 100 | $25.69 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
6,721,590 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
6,721,906 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
6,722,006 | 2014-11-18 | 2019-12-15 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares, $.01 Par Value | 71,700 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 | Warrants to Purchase Common Stock, par value $0.01 | $25.69 | 2014-11-18 | 2019-12-15 | 0 | 14,801 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2019-12-15 | 0 | 14,801 | Direct |
Footnotes
- The reported securities are directly owned by The Fairholme Fund, a series of Fairholme Funds, Inc. (the "Fund"), managed indirectly by Mr. Bruce R. Berkowitz (the "Reporting Person"). The Reporting Person disclaims beneficial ownership in the Fund except to the extent of his pecuniary interest, if any, therein.
- In addition to the 7,200 securities reported in Column 4, the amount reported in Column 5 accounts for 7,200 shares now held in accounts over which the Reporting Person no longer has beneficial ownership.
- The 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.
- In addition to the 10,451 securities reported in Columns 5 and 7, the amount reported in Column 9 accounts for 1,478 shares now held in accounts over which the Reporting Person no longer has beneficial ownership.