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
  1. 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.
  2. 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.
  3. 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.
  4. 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.