-----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, E0Gj7JxaJU4voGryBGf+fbDvzQ0DZeOgzLsUziNqvz9oZ//NSN6CAleh4/tI1y5A chpkBG1FCgGBZSCNTM4PWw== 0000903423-01-000087.txt : 20010223 0000903423-01-000087.hdr.sgml : 20010223 ACCESSION NUMBER: 0000903423-01-000087 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SAKS INC CENTRAL INDEX KEY: 0000812900 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] IRS NUMBER: 620331040 STATE OF INCORPORATION: TN FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-40274 FILM NUMBER: 1543760 BUSINESS ADDRESS: STREET 1: 750 LAKESHORE PARKWAY CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059404000 MAIL ADDRESS: CITY: ALCOA STATE: TN ZIP: 37701 FORMER COMPANY: FORMER CONFORMED NAME: PROFFITTS INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HELU CARLOS SLIM CENTRAL INDEX KEY: 0001080910 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PARQUE VIA 190 STREET 2: COLONIA CUAUHTEOC 06599 MEXICO D E CITY: MEXICO MAIL ADDRESS: STREET 1: PARAQUE VIA 190 STREET 2: COLONIA CUAUHTEROC 06599 MEXICO DE CITY: MEXICO SC 13G/A 1 0001.txt SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) and (d) AND AMENDMENTS FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)(1) Saks Incorporated - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.10 per share ("Saks Shares") - -------------------------------------------------------------------------------- (Title of Class of Securities) 79377W108 - -------------------------------------------------------------------------------- (CUSIP Number) December 29, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Rafael Robles Miaja Franck, Galicia, Duclaud y Robles, S.C. Torre Optima Tercer Piso Avenida Paseo de las Palmas 405 Colonia: Lomas de Chapultepec 11000 Mexico D.F. MEXICO Telephone: 011-525-540-9200 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) (1) 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 cover 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). CUSIP No. 79377W108 Page 2 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Carlos Slim Helu 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 3 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Carlos Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 4 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Marco Antonio Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 5 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Patrick Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 6 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Maria Soumaya Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 7 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Vanessa Paola Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 8 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Johanna Monique Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 9 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Inmobiliaria Carso, S.A. de C.V. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* HC *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 79377W108 Page 10 of 14 Pages 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Orient Star Holdings LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER - 0 - NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 20,950,000 Saks Shares (See Item 4(c)) EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH - 0 - 8 SHARED DISPOSITIVE POWER 20,950,000 Saks Shares (See Item 4(c)) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,950,000 Saks Shares (See Item 4(a)) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% (See Item 4(b)) 12 TYPE OF REPORTING PERSON* HC *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Saks Incorporated ("Saks") (b) Address of Issuer's Principal Executive Offices: 750 Lakeshore Parkway Birmingham, AL 35211 Item 2. (a) Name of Persons Filing: This statement is filed pursuant to Rule 13d-2(b) under the U.S. Securities Exchange Act of 1934, as amended, by the persons listed below (the "Reporting Persons"). (1) Carlos Slim Helu, Carlos Slim Domit, Marco Antonio Slim Domit, Patrick Slim Domit, Maria Soumaya Slim Domit, Vanessa Paola Slim Domit and Johanna Monique Slim Domit (collectively, the "Slim Family"). The members of the Slim Family are beneficiaries of a Mexican trust which in turn owns all of the outstanding voting securities of Inmobiliaria Carso, S.A. de C.V ("Inmobiliaria"). (2) Inmobiliaria is a holding company with interests in the real estate industry, and is the sole member of Orient Star Holdings LLC ("Orient Star"). (3) Orient Star is a holding company with portfolio investments in various companies. (b) Address of Principal Business Office: (i) The principal business address for each member of the Slim Family is: Paseo de las Palmas 736 Colonia Lomas de Chapultepec 11000 Mexico D.F. Mexico (ii) Inmobiliaria's principal business address is: Insurgentes Sur #3500, PB-4 Colonia Pena Pobre 14060 Mexico D.F. Mexico (iii) Orient Star's principal business address is: 1000 Louisiana Street Suite 565 Houston, TX 77002 (c) Citizenship: Each member of the Slim Family is a Mexican citizen. Inmobiliaria is a sociedad anonima de capital variable organized under the laws of the United Mexican States, and Orient Star is a Delaware limited liability company. (d) Title of Class of Securities: Common Stock, par value $0.10 per share (e) CUSIP Number: 79377W108 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a(n): (a) [ ] Broker or dealer registered under Section 15 of the Act; (b) [ ] 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 in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] Employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] Parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; or (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership. (a) Amount Beneficially Owned: As of December 29, 2000, (i) Orient Star directly owns 20,950,000 Saks Shares, (ii) Inmobiliaria, as the sole member of Orient Star, is deemed to beneficially own indirectly the Saks Shares owned directly by Orient Star, and (iii) the Slim Family, which owns all of the issued and outstanding voting securities of Inmobiliaria, is deemed to beneficially own indirectly the Saks Shares deemed beneficially owned indirectly by Inmobiliaria and owned directly by Orient Star. (b) Percent of Class: The Saks Shares beneficially owned by the Reporting Persons constitute approximately 14.8% of the issued and outstanding Saks Shares (based on the total number of Saks Shares issued and outstanding as contained in the most recently available filing with the Securities and Exchange Commission). (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: -0- (ii) Shared power to vote or to direct the vote: 20,950,000 Saks Shares (iii) Sole power to dispose or to direct the disposition of: -0- (iv) Shared power to dispose or direct the disposition of: 20,950,000 Saks Shares 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: Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. * The Powers of Attorney and Joint Filing Agreement, each dated March 2, 2000, filed as exhibits to the Schedule 13G filed by the Reporting Persons with the Securities and Exchange Commission on September 26, 2000 are hereby incorporated herein by reference. 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. Carlos Slim Helu -------------------------------- Carlos Slim Domit By: /s/ Eduardo Valdes -------------------------- -------------------------------- Eduardo Valdes Marco Antonio Slim Domit Attorney-in-Fact February 14, 2001 -------------------------------- Patrick Slim Domit -------------------------------- Maria Soumaya Slim Domit -------------------------------- Vanessa Paola Slim Domit -------------------------------- Johanna Monique Slim Domit -------------------------------- INMOBILIARIA CARSO, S.A. DE C.V. -------------------------------- By: Alejandro Escoto Title: Attorney-in-Fact ORIENT STAR HOLDINGS LLC -------------------------------- By: James M. Nakfoor Title: Manager -----END PRIVACY-ENHANCED MESSAGE-----