-----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, UtU3Kd7mSZSTkr1Cq4Ze4jQuiFF6DtcZmO6sfZWUUnm607VBrffFevfefO/NoOcm tDdWRI/TXXRujdDbvJIvHw== 0000893750-07-000008.txt : 20070105 0000893750-07-000008.hdr.sgml : 20070105 20070105161650 ACCESSION NUMBER: 0000893750-07-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070103 FILED AS OF DATE: 20070105 DATE AS OF CHANGE: 20070105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ESL INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001249799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10714 FILM NUMBER: 07514160 MAIL ADDRESS: STREET 1: 200 GREENWICH AVE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAMPERT EDWARD S CENTRAL INDEX KEY: 0001183200 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10714 FILM NUMBER: 07514159 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 9014956500 ISSUER: 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: 0828 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 4 1 form4_ex.xml X0202 4 2007-01-03 0 0000866787 AUTOZONE INC AZO 0001183200 LAMPERT EDWARD S 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 0001249799 ESL INVESTMENT MANAGEMENT LLC 200 GREENWICH AVE GREENWICH CT 06830 0 0 1 0 Common Stock 2006-12-28 5 G 0 18924 0 D 22007176 I By Filing Group Common Stock 2006-12-29 5 G 0 386 0 D 22006790 I By Filing Group Common Stock 2006-12-28 5 G 0 3017 0 D 10150 D Common Stock 2007-01-03 4 M 0 3000 71.175 A 13150 D Common Stock 2007-01-03 4 M 0 3000 85.1 A 16150 D Common Stock 2007-01-03 4 M 0 3000 90.455 A 19150 D Common Stock 2007-01-03 4 M 0 3000 92.22 A 22150 D Non-Qualified Stock Option (right to buy) 71.175 2007-01-03 4 M 0 3000 0 D 2003-01-01 2007-01-12 Common Stock 3000 0 D Non-Qualified Stock Option (right to buy) 85.1 2007-01-03 4 M 0 3000 0 D 2004-01-01 2007-01-12 Common Stock 3000 0 D Non-Qualified Stock Option (right to buy) 90.455 2007-01-03 4 M 0 3000 0 D 2005-01-01 2007-01-12 Common Stock 3000 0 D Non-Qualified Stock Option (right to buy) 92.22 2007-01-03 4 M 0 3000 0 D 2006-01-01 2007-01-12 Common Stock 3000 0 D These transactions represent charitable contributions. These shares of Common Stock of the Issuer were owned by ESL Investment Management, L.L.C., a Delaware limited liability company of which Edward S. Lampert was the managing member. Granted in accordance with the AutoZone, Inc. 2003 Director Stock Option Plan. See Exhibit 99.1 for Joint Filer Information. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), Mr. Lampert may be deemed to be the beneficial owner of the securities reported herein only to the extent of his pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that Mr. Lampert is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. /s/ Edward S. Lampert 2007-01-05 EX-99.1 2 exhibit99_1.txt JOINT FILER INFORMATION Exhibit 99.1 Joint Filer Information Date of Event Requiring Statement: January 3, 2007 Issuer Name and Ticker or Trading Symbol: AutoZone, Inc. (AZO) Designated Filer: Edward S. Lampert Other Joint Filers: ESL Investment Management, L.L.C. Addresses: The principal business address of each of the Joint Filers above is 200 Greenwich Avenue, Greenwich, CT 06830. Signatures: EDWARD S. LAMPERT /s/ Edward S. Lampert ----------------------- Edward S. Lampert ESL INVESTMENT MANAGEMENT, L.P. (as successor to ESL INVESTMENT MANAGEMENT, L.L.C., effective December 31, 2006) By: ESL INVESTMENT MANAGEMENT (GP), L.L.C., its general partner By: /s/ Edward S. Lampert ------------------------ Name: Edward S. Lampert Title: Managing Member -----END PRIVACY-ENHANCED MESSAGE-----