-----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, UpqeNNjdJkpUICDUzqayZPMOZRhDHm33CxxACUUkJQjVPgx0ehVL9tt8RM8q/2KP YJ/5ZH4lIl7wFBM4K88KkQ== 0000950134-01-509598.txt : 20020413 0000950134-01-509598.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950134-01-509598 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011218 GROUP MEMBERS: ACRES PARTNERS LP GROUP MEMBERS: BLUE MACAW PARTNERS LP GROUP MEMBERS: EDWARD S LAMPERT GROUP MEMBERS: ESL INSTITUTIONAL PARTNERS LP GROUP MEMBERS: ESL INVESTORS LLC GROUP MEMBERS: ESL LIMITED GROUP MEMBERS: MARION PARTNERS LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTOZONE INC CENTRAL INDEX KEY: 0000866787 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO & HOME SUPPLY STORES [5531] IRS NUMBER: 621482048 STATE OF INCORPORATION: NV FISCAL YEAR END: 0826 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42117 FILM NUMBER: 1816910 BUSINESS ADDRESS: STREET 1: 123 SOUTH FRONT ST CITY: MEMPHIS STATE: TN ZIP: 38103 BUSINESS PHONE: 9014956500 MAIL ADDRESS: STREET 1: P O BOX 2198 STREET 2: DEPT 8074 CITY: MEMPHIS STATE: TN ZIP: 38101-2198 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESL PARTNERS LP CENTRAL INDEX KEY: 0000923727 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 222875193 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE LAFAYETTE PLACE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038614600 MAIL ADDRESS: STREET 1: ONE LAFAYETTE PLAC CITY: GREENWICH STATE: CT ZIP: 06830 SC 13D/A 1 d92995asc13da.txt AMENDMENT NO.13 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (AMENDMENT NO. 13) Under the Securities Exchange Act of 1934 AutoZone, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 053332-10-2 ---------------------------------------------------------------- (CUSIP Number) Janice V. Sharry, Esq. Haynes and Boone, LLP 901 Main Street, Suite 3100 Dallas, Texas 75202 (214) 651-5562 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 17, 2001 ---------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), (f) or (g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7(b) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). SCHEDULE 13D - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ESL Partners, L.P. 22-2875193 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 13,298,753 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 13,298,753 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 2 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ESL Limited, a Bermuda corporation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 3,011,389 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 3,011,389 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 3 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ESL Institutional Partners, L.P., a Delaware limited partnership 06-1456821 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 447,990 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 447,990 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 4 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ESL Investors, L.L.C., a Delaware limited liability company 13-4095958 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,521,365 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 1,521,365 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 5 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Acres Partners, L.P., a Delaware limited partnership 06-1458694 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 7,946,213 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 7,946,213 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 6 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Marion Partners, L.P., a Delaware limited partnership 06-1527654 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,124,840 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 1,124,840 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 7 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Blue Macaw Partners, L.P., a Delaware limited partnership 06-1573985 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 488,350 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 488,350 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 8 - ---------------------------- CUSIP No. 053332-10-2 - ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Edward S. Lampert - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] N/A - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 2,489 NUMBER OF ------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 2,489 ------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,841,389 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] N/A - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.83% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- (1) Based on 107,807,339 shares of common stock issued and outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. 9 This Amendment No. 13 to Schedule 13D (this "Amendment") amends and supplements the Schedule 13D (as previously amended) filed by ESL Partners, L.P., a Delaware limited partnership ("ESL"), ESL Limited, a Bermuda corporation ("Limited"), ESL Institutional Partners, L.P., a Delaware limited partnership ("Institutional"), ESL Investors, LLC, a Delaware limited liability company ("Investors"), Acres Partners, L.P., a Delaware limited partnership ("Acres"), Marion Partners, L.P., a Delaware limited partnership ("Marion"), Blue Macaw Partners, L.P., a Delaware limited partnership ("Blue Macaw") and Edward S. Lampert, a U.S. citizen ("Mr. Lampert"), by furnishing the information set forth below. ESL, Limited, Institutional, Investors, Acres, Marion, Blue Macaw and Mr. Lampert are collectively defined in this Amendment as the "Filing Persons." Unless set forth below, all previous Items are unchanged. Capitalized terms used herein which are not defined herein have the meanings given to them in the Schedule 13D previously filed with the Securities and Exchange Commission. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 is hereby amended as follows: Mr. Lampert, a director of the Issuer, owns an aggregate of 2,489 Shares, which he received directly from the Issuer pursuant to the Issuer's director compensation plan. ITEM 4. PURPOSE OF TRANSACTION. Item 4 is hereby amended as follows: From December 7, 2001 through December 18, 2001, the Filing Persons sold 1,501,000 Shares in the aggregate in accordance with the exemption from the registration requirements of the Securities Act of 1933, as amended (the "1933 Act"), provided by Rule 144 ("Rule 144"). Following these transactions, the Filing Persons continue to hold 27,841,389 Shares which is approximately 25.83% of the shares outstanding as of October 15, 2001 as disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001. Following these transactions, the Filing Persons are entitled to vote 19,444,066 shares or 18.04% of the shares which were reported as outstanding as of October 15, 2001. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended in its entirety as follows: (a) Pursuant to that certain Joint Filing Agreement, entered into by and among the Filing Persons, dated as of January 29, 2001 (incorporated herein by reference to Exhibit 1 to Amendment No. 7 to Schedule 13D, filed on January 29, 2001), each of ESL, Limited, Institutional, Investors, Acres, Marion, Blue Macaw and Mr. Lampert may be deemed to beneficially own 27,841,389 Shares (which is approximately 25.83% of the Shares outstanding as of October 15, 2001, as disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended August 25, 2001, filed with the SEC on November 16, 2001). 10 (b)
Sole Shared Sole Shared Voting Voting Dispositive Dispositive Power Power Power Power --------------- ------------ ---------------- --------------- ESL Partners, L.P. 13,298,753 0 13,298,753 0 ESL Limited 3,011,389 0 3,011,389 0 ESL Institutional Partners, L.P. 447,990 0 447,990 0 ESL Investors, L.L.C. 1,521,365 0 1,521,365 0 Acres Partners, L.P. 7,946,213 0 7,946,213 0 Marion Partners, L.P. 1,124,840 0 1,124,840 0 Blue Macaw Partners, L. P. 488,350 0 488,350 0 Edward S. Lampert 2,489 0 2,489 0
(c) Since the most recent filing on Schedule 13D, the only transactions in the Shares by Mr. Lampert were an additional 124 Shares issued to Mr. Lampert pursuant to Mr. Lampert's role as a director of the Issuer since December 9, 1999, and pursuant to the Issuer's director compensation plan. Since the most recent filing on Schedule 13D, there have been no transactions in the Shares by any of the Filing Persons, other than as set forth in this Item 5 and in Schedule A attached hereto and incorporated herein by reference. 11 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Amendment is true, complete and correct. Date: December 18, 2001 ESL PARTNERS, L.P. By: RBS Partners, L.P., its general partner By: ESL Investments, Inc., its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Chairman ESL LIMITED By: ESL Investment Management, LLC, its investment manager By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Managing Member ESL INSTITUTIONAL PARTNERS, L.P. By: RBS Investment Management, LLC, its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Managing Member ESL INVESTORS, L.L.C. By: RBS Partners, L.P., its manager By: ESL Investments, Inc., its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Chairman 12 ACRES PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Chairman MARION PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Chairman BLUE MACAW PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ Edward S. Lampert -------------------------------------- Edward S. Lampert Chairman /s/ Edward S. Lampert ----------------------------------- EDWARD S. LAMPERT 13 SCHEDULE A TRANSACTIONS IN THE SHARES IN THE PAST SIXTY DAYS OR SINCE THE MOST RECENT FILING OF SCHEDULE 13D IN THE PAST 60 DAYS OR SINCE THE MOST RECENT FILING OF SCHEDULE 13D BY THE FILING PERSONS, THE ONLY TRANSACTIONS IN THE SHARES BY ESL WERE:
Shares Price Date of Sale Sold Per Share ------------------------ ------------- ---------------- 12/07/01 26,000 $ 76.769 12/10/01 161,859 74.330 12/11/01 45,336 73.692 12/12/01 3,500 73.807 12/12/01 129,101 73.199 12/13/01 203,206 73.836 12/14/01 20,500 73.000 12/14/01 17,109 73.506 12/17/01 99,983 73.566 12/18/01 63,445 73.937 12/18/01 118,577 74.000
IN THE PAST 60 DAYS OR SINCE THE MOST RECENT FILING OF SCHEDULE 13D BY THE FILING PERSONS, THE ONLY TRANSACTIONS IN THE SHARES BY LIMITED WERE:
Shares Price Date of Sale Sold Per Share ------------------------ ------------- ---------------- 12/10/01 28,525 $ 74.330 12/11/01 6,809 73.692 12/12/01 20,667 73.199 12/13/01 31,832 73.836 12/14/01 5,969 73.506 12/17/01 15,712 73.566 12/18/01 9,962 73.937 12/18/01 18,557 74.000
IN THE PAST 60 DAYS OR SINCE THE MOST RECENT FILING OF SCHEDULE 13D BY THE FILING PERSONS, THE ONLY TRANSACTIONS IN THE SHARES BY INSTITUTIONAL WERE:
Shares Price Date of Sale Sold Per Share ------------------------ ------------- ---------------- 12/10/01 5,247 $ 74.330 12/11/01 1,241 73.692 12/12/01 3,728 73.199 12/13/01 5,777 73.836 12/14/01 1,027 73.506 12/17/01 2,878 73.566 12/18/01 1,755 73.937 12/18/01 3,354 74.000
IN THE PAST 60 DAYS OR SINCE THE MOST RECENT FILING OF SCHEDULE 13D BY THE FILING PERSONS, THE ONLY TRANSACTIONS IN THE SHARES BY ACRES WERE:
Shares Price Date of Sale Sold Per Share ------------------------ ------------- ---------------- 12/10/01 82,869 $ 74.330 12/11/01 22,614 73.692 12/12/01 66,504 73.199 12/13/01 116,885 73.836 12/14/01 18,895 73.506 12/17/01 50,227 73.566 12/18/01 31,838 73.937 12/18/01 59,512 74.000
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