SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AUTOZONE INC
[ AZO ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 06/30/2003
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
06/30/2003 |
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J
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783,937
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D |
0 |
25,531,802
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I
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(4), (5), (6) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
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/s/ William C. Crowley, President and Chief Operating Officer |
07/01/2003 |
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** 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
4
(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. |
Joint Filer Information
Name: ESL Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ESL PARTNERS, L.P.
By: RBS Partners, L.P., its general partner
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: ESL Limited
Address: Hemisphere House
9 Church Street
Hamilton, Bermuda
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ESL LIMITED
By: ESL Investment Management, LLC, its investment manager
By: /s/ William C. Crowley
William C. Crowley
Member
Dated: July 1, 2003
Name: ESL Institutional Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ESL INSTITUTIONAL PARTNERS, L.P.
By: RBS Investment Management, LLC, its general partner
By: /s/ William C. Crowley
William C. Crowley
Member
Dated: July 1, 2003
Name: ESL Investors, L.L.C.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ESL INVESTORS, L.L.C.
By: RBS Partners, L.P., its manager
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: Acres Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ACRES PARTNERS, L.P.
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: Marion Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: MARION PARTNERS, L.P.
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: Blue Macaw Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: BLUE MACAW PARTNERS, L.P.
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: 200GA, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: 200GA, L.P.
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: RBS Investment Management, LLC
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: RBS INVESTMENT MANAGEMENT, LLC
By: /s/ William C. Crowley
William C. Crowley
Member
Dated: July 1, 2003
Name: RBS Partners, L.P.
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: RBS PARTNERS, L.P.
By: ESL Investments, Inc., its general partner
By: /s/ William C. Crowley
William C. Crowley
President and Chief Operating Officer
Dated: July 1, 2003
Name: ESL Investment Management, LLC
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: ESL INVESTMENT MANAGEMENT, LLC
By: /s/ William C. Crowley
William C. Crowley
Member
Dated: July 1, 2003
Name: Edward S. Lampert
Address: 200 Greenwich Avenue
Greenwich, CT 06830
Issuer & Ticker Symbol: AutoZone, Inc. (AZO)
Designated Filer: ESL Investments, Inc.
Signature: /s/ Edward S. Lampert
Edward S. Lampert
Dated: July 1, 2003