UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(AMENDMENT NO. 13)
Under the Securities Exchange Act of 1934
AutoZone, Inc.
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(Name of Issuer)
Common Stock, par value $.01 per share
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(Title of Class of Securities)
053332-10-2
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(CUSIP Number)
Janice V. Sharry, Esq.
Haynes and Boone, LLP
901 Main Street, Suite 3100
Dallas, Texas 75202
(214) 651-5562
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(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
December 17, 2001
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(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
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CUSIP No. 053332-10-2
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ESL Partners, L.P.
22-2875193
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
27,841,389
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
N/A
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
PN
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(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
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CUSIP No. 053332-10-2
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ESL Limited, a Bermuda corporation
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Bermuda
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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
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
27,841,389
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
N/A
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
CO
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(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
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CUSIP No. 053332-10-2
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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
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
27,841,389
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
N/A
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
PN
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(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
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CUSIP No. 053332-10-2
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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
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
CO
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(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
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CUSIP No. 053332-10-2
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- --------------------------------------------------------------------------------
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
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
N/A
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
PN
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(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
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CUSIP No. 053332-10-2
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- --------------------------------------------------------------------------------
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
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
N/A
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
PN
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(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
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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
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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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
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
25.83% (1)
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14 TYPE OF REPORTING PERSON
PN
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(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
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CUSIP No. 053332-10-2
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- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Edward S. Lampert
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
N/A
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.
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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
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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)
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14 TYPE OF REPORTING PERSON
IN
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(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