-----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, WL5FqUAsPl7AwFSDNlYQXfFTtvmTpI7fSl0/mEYlgFMokt3UXMFdWCOuNVoR9hZ2 u65388l4/N7+cKVfTGCP/g== 0000903423-02-000628.txt : 20021016 0000903423-02-000628.hdr.sgml : 20021016 20021016134214 ACCESSION NUMBER: 0000903423-02-000628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021015 FILED AS OF DATE: 20021016 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HELU CARLOS SLIM CENTRAL INDEX KEY: 0001080910 RELATIONSHIP: 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 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: 02790222 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 4 1 slimsaksf4_10-16.txt OMB APPROVAL -------------------------- OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.....0.5 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 October 15, 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) Amount of ship 3. or Disposed of (D) Securities Form: 7. 2a. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Deemed Code ------------------------- Owned at End (D) or Indirect 1. Transaction Execution (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date Date, if any, ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Month/Day/Year) (Month/Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 9/13/2002 S 30,000 D 12.0207 17,516,200 I By Inmobiliaria $0.10 per share Carso ("Saks Shares") - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 9/16/2002 S 1,300 D 12.2500 17,514,900 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 9/19/2002 S 20,000 D 11.8412 17,494,900 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 9/20/2002 S 20,000 D 11.5437 17,474,900 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 10/14/2002 S 91,900 D 10.4574 17,383,000 I Carso - ------------------------------------------------------------------------------------------------------------------------------------ Saks Shares By Inmobiliaria 10/15/2002 S 100,000 D 10.6783 17,283,000 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: - ------------------------ On September 13, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of September 13, 2002, Inmobiliaria had direct beneficial ownership of 7,683,200 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On September 16, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of September 16, 2002, Inmobiliaria had direct beneficial ownership of 7,681,900 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On September 19, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of September 19, 2002, Inmobiliaria had direct beneficial ownership of 7,661,900 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On September 20, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of September 20, 2002, Inmobiliaria had direct beneficial ownership of 7,641,900 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On October 14, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of October 14, 2002, Inmobiliaria had direct beneficial ownership of 7,550,000 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On October 15, 2002, Inmobiliaria effected the transaction reflected in Table 1 above, which is subject to Section 16 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"). As of October 15, 2002, Inmobiliaria had direct beneficial ownership of 7,450,000 Saks Shares, and indirect beneficial ownership of the 9,833,000 Saks Shares directly owned by Orient Star. On each of September 13, September 16, September 19, September 20, October 14 and October 15, the Slim Family did not effect any transactions in Saks Shares subject to the Exchange Act. The Slim Family beneficially owns all of the outstanding voting and equity securities of Inmobiliaria, and therefore, as of September 13, September 16, September 19, September 20, October 14 and October 15, each member of the Slim Family may be deemed to have indirect beneficial ownership of the Saks Shares then directly owned by Inmobiliaria, in the amounts described above, 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* October 16, 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 o 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-----