SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
03/24/2014
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3. Issuer Name and Ticker or Trading Symbol
LANDS END INC
[ LE ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. 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 Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
1. Name and Address of Reporting Person*
| 1170 KANE CONCOURSE, SUITE 200 |
|
(Street)
|
| Explanation of Responses: |
| Remarks: |
|
| No securities are beneficially owned. |
|
EDWARD S. LAMPERT, By: /s/ Edward S. Lampert |
03/26/2014 |
|
ESL PARTNERS, L.P., By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
SPE I PARTNERS, LP, By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
SPE MASTER I, LP, By: RBS Partners, L.P., Its: General Partner, By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
RBS PARTNERS, L.P., By: ESL Investments, Inc., Its: General Partner, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
ESL INSTITUTIONAL PARTNERS, L.P., By: RBS Investment Management, L.L.C., Its: General Partner, By: ESL Investments, Inc., Its: Manager, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
RBS INVESTMENT MANAGEMENT, L.L.C., By: ESL Investments, Inc., Its: Manager, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
CRK PARTNERS, LLC, By: ESL Investments, Inc., Its: Sole Member, By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
ESL INVESTMENTS, INC., By: /s/ Edward S. Lampert, Name: Edward S. Lampert, Title: Chief Executive Officer |
03/26/2014 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
rrd365705_414239.html
EXHIBIT 99.1
JOINT FILER INFORMATION
Other Reporting Person(s)
1. ESL PARTNERS, L.P.
Item Information
Name: ESL Partners, L.P.
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
2. SPE I PARTNERS, LP
Item Information
Name: SPE I Partners, LP
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
---------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
3. SPE MASTER I, LP
Item Information
Name: SPE Master I, LP
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
4. RBS PARTNERS, L.P.
Item Information
Name: RBS Partners, L.P.
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature:
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
5. ESL INSTITUTIONAL PARTNERS, L.P.
Item Information
Name: ESL Institutional Partners, L.P.
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: RBS Investment Management, L.L.C.
Its: General Partner
By: ESL Investments, Inc.
Its: Manager
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
6. RBS INVESTMENT MANAGEMENT, L.L.C.
Item Information
Name: RBS Investment Management, L.L.C.
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: ESL Investments, Inc.
Its: Manager
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
7. CRK PARTNERS, LLC
Item Information
Name: CRK Partners, LLC
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature: By: ESL Investments, Inc.
Its: Sole Member
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
8. ESL INVESTMENTS, INC.
Item Information
Name: ESL Investments, Inc.
Address: 1170 Kane Concourse, Suite 200, Bay Harbor, FL 33154
Designated Filer: Edward S. Lampert
Date of Event Requiring Statement March 24, 2014
(Month/Day/Year):
Issuer Name and Ticker or Trading Lands' End, Inc. [LE]
Symbol:
Relationship of Reporting Person(s) 10% Owner
to Issuer:
If Amendment, Date Original Filed
(Month/Day/Year):
Individual or Joint/Group Filing: Form filed by More than One Reporting Person
Signature:
By: /s/ Edward S. Lampert
-------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
Date: March 26, 2014
rrd365705_414240.html
EXHIBIT 99.2
JOINT FILING AGREEMENT
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the
"Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the
joint filing, on behalf of each of them, of any filing required by such party under Section 13 or
Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment,
restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and,
if such security is registered on a national securities exchange, also with the exchange), and
further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an
exhibit thereto. This agreement shall remain in full force and effect until revoked by any party
hereto in a signed writing provided to each other party hereto, and then only with respect to such
revoking party.
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to
be executed and effective as of the date set forth below.
Date: March 26, 2014 EDWARD S. LAMPERT
By: /s/ Edward S. Lampert
-----------------------------------
ESL PARTNERS, L.P.
By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
SPE I PARTNERS, LP
By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
SPE MASTER I, LP
By: RBS Partners, L.P.
Its: General Partner
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
RBS PARTNERS, L.P.
By: ESL Investments, Inc.
Its: General Partner
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
ESL INSTITUTIONAL PARTNERS, L.P.
By: RBS Investment Management, L.L.C.
Its: General Partner
By: ESL Investments, Inc.
Its: Manager
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
RBS INVESTMENT MANAGEMENT, L.L.C.
By: ESL Investments, Inc.
Its: Manager
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
CRK PARTNERS, LLC
By: ESL Investments, Inc.
Its: Sole Member
By: /s/ Edward S. Lampert
----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
ESL INVESTMENTS, INC.
By: /s/ Edward S. Lampert
-----------------------------------
Name: Edward S. Lampert
Title: Chief Executive Officer
