-----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, Q8y8Ju/sPs/ByZkcJzKBnXkuSiVRVQpkJT+2XS47EZTYwRXU1krjn52CqKmf00tv SaE9MdCUaSDqKf5CWdNsFg== 0000903423-02-000504.txt : 20020809 0000903423-02-000504.hdr.sgml : 20020809 20020809164939 ACCESSION NUMBER: 0000903423-02-000504 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020809 FILED AS OF DATE: 20020809 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13113 FILM NUMBER: 02725192 BUSINESS ADDRESS: STREET 1: 750 LAKESHORE PARKWAY CITY: BIRMINGHAM STATE: AL ZIP: 35211 BUSINESS PHONE: 2059404000 FORMER COMPANY: FORMER CONFORMED NAME: PROFFITTS INC DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: HELU CARLOS SLIM CENTRAL INDEX KEY: 0001080910 OWNER FILING VALUES: FORM TYPE: 4 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 4 1 slimsaksf4_8-09.txt ------------------------------- OMB Number: Expires: Estimated average burden hours per response: ------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Orient Star Holdings LLC ("Orient Star") - -------------------------------------------------------------------------------- (Last) (First) (Middle) 1000 Louisiana Street - -------------------------------------------------------------------------------- (Street) Houston, TX 77002 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Saks Incorporated (SKS) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year July/2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by one Reporting Person [X] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================ 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.10 By Inmobiliaria ("Saks Shares") 07/01/02 S 134,000 D 12.4476 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/02/02 S 263,000 D 11.9751 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/03/02 S 202,000 D 11.5960 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/05/02 S 136,000 D 12.1228 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/08/02 S 150,000 D 12.2346 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/09/02 S 165,800 D 12.0216 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/10/02 S 52,100 D 11.9245 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/11/02 S 47,900 D 11.1095 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/12/02 S 50,000 D 11.3000 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 07/15/02 S 2,000 D 11.0000 17,546,200 I Carso - ------------------------------------------------------------------------------------------------------------------------------------
FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: See attached Exhibit to Form 4, which is hereby incorporated herein by reference.
Exhibit to Form 4 Name and Address of Additional Reporting Persons: - ------------------------------------------------ Inmobiliaria Carso, S.A. de C.V. ("Inmobiliaria") with the following address: Insurgentes Sur #3500, PB-4 Pena Pobre 14000 Mexico D.F., Mexico Mr. Carlos Slim Helu, Mr. Carlos Slim Domit, Mr. Marco Antonio Slim Domit, Mr. Patrick Slim Domit, Ms. Maria Soumaya Slim Domit, Ms. Vanessa Paola Slim Domit and Ms. Johanna Monique Slim Domit (collectively, the "Slim Family"), each with the following address: Paseo de Las Palmas #736 Colonia Lomas de Chapultepec 11000 Mexico D.F., Mexico Explanation of Responses: - ------------------------ During the month of July, Inmobiliaria effected the transactions reflected in Table 1 above, which are subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of July 31, 2002, Inmobiliaria had direct beneficial ownership of 7,713,200 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. During the month of July, the Slim Family did not effect any transactions subject to the Exchange Act. The Slim Family beneficially owns all of the outstanding voting and equity securities of Inmobiliaria, and therefore, as of July 31, 2002, each member of the Slim Family may be deemed to have indirect beneficial ownership of the 7,713,200 Saks Share directly owned by Inmobiliaria, and the 9,833,000 Saks Shares then beneficially owned indirectly by Inmobiliaria and owned directly by Orient Star. Signature Page -------------- ----------------------------- Carlos Slim Helu ----------------------------- Carlos Slim Domit By: /s/ Eduardo Valdes Acra ----------------------- ----------------------------- Eduardo Valdes Acra Marco Antonio Slim Domit Attorney-in-Fact* August 8, 2002 ----------------------------- 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 * See the Powers of Attorney and the Joint Filing Agreement, each dated March 2, 2000, each filed as exhibits to the Schedule 13G filed by Orient Star, Inmobiliaria and the members of the Slim Family with the U.S. Securities and Exchange Commission on September 26, 2000, which are hereby incorporated herein by reference. -----END PRIVACY-ENHANCED MESSAGE-----