-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QudkYrgOLkKJTTgdhBoXKfWVXhgTuAMrZ6fd8xnSm/msstT13KzJkIBaM8BhT0J2 dQRU8VTB+izejYpqniw8cw== 0000912057-97-005863.txt : 19970222 0000912057-97-005863.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005863 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970218 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SEARS ROEBUCK & CO CENTRAL INDEX KEY: 0000319256 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] IRS NUMBER: 361750680 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32052 FILM NUMBER: 97536971 BUSINESS ADDRESS: STREET 1: 3333 BEVERLY RD B-5 317A CITY: HOFFMAN ESTATES STATE: IL ZIP: 60179 BUSINESS PHONE: 7082862500 MAIL ADDRESS: STREET 1: 3333 BEVERLY RD B-5 317A CITY: HOFFMAN ESTATES STATE: IL ZIP: 60179 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: US TRUST CO OF CALIFORNIA NA CENTRAL INDEX KEY: 0000898225 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954311476 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 515 FLOWER ST STE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 BUSINESS PHONE: 2138615020 MAIL ADDRESS: STREET 1: 515 FLOWER STREET STREET 2: SUITE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 SC 13G/A 1 SCHEDULE 13-G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* ------ SEARS, ROEBUCK & CO. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 812387108 ---------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 4 Pages --- CUSIP No. 812387108 13G Page 2 of 4 Pages --------- --- --- U.S. Trust Co. of California, N.A. - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons 95-4311476 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization 515 S. Flower St. #2800, Los Angeles, CA 90071 - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 18,180,477 -------------------------------------------------- (7) Sole Dispositive Power 18,180,477 -------------------------------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 18,180,477 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* BK EP - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 4 Pages --- --- ITEM 1(A). NAME OF ISSUER Sears, Roebuck & Co. Tax ID # 36-1750680 - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 233 Wacker Dr. 51st Floor, Chicago, IL 60606 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING U.S. Trust Co. of California, N.A. - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 515 S. Flower St. #2800, Los Angeles, CA 90071 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP California - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES Common - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER 812387108 - ------------------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) / / Broker or Dealer registered under Section 15 of the Act (b) /X/ Bank as defined in section 3(a)(6) of the Act (c) / / Insurance Company as defined in section 3(a)(19) of the Act (d) / / Investment Company registered under section 8 of the Investment Company Act (e) / / Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) /X/ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H) Page 4 of 4 Pages --- --- ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 18,180,477 --------------------------------------------------------------------------- (b) Percent of Class: 4.7% --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote 18,180,477 ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 18,180,477 ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. /XXXXX/ ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON - ------------------------------------------------------------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY - ------------------------------------------------------------------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP - ------------------------------------------------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP - ------------------------------------------------------------------------------- ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 2/14/97 ---------------------------------------- (Date) ---------------------------------------- (Signature) ---------------------------------------- (Name/Title) Robert S. Cummings, Sr. VP U.S. Trust Co. of California, N.W. Trustee -----END PRIVACY-ENHANCED MESSAGE-----