organization · Reporting owner
Pershing Square GP, LLC
Disclosed activity across 7 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARNES & NOBLE INCBKS · Entity 17123 | See footnote (1) | September 19, 2008 | September 19, 2008 |
| BEAM INCBEAM · Entity 16556 | 10% owner | July 01, 2013 | July 03, 2013 |
| BORDERS GROUP INCBGP · Entity 16843 | 10% owner | July 25, 2011 | July 27, 2011 |
| CERIDIAN CORP /DE/CEN · Entity 17329 | 10% owner | February 28, 2007 | March 01, 2007 |
| Howard Hughes CorpHHC · Entity 15317 | 10% owner | July 01, 2013 | July 04, 2013 |
| WENDYS INTERNATIONAL INCWEN · Entity 17430 | 10% owner | March 17, 2006 | March 17, 2006 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BARNES & NOBLE INC
Report date September 19, 2008 · Filed September 19, 2008 · Amendment
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
This filing explicitly reported no securities owned.
BEAM INC
Report date July 01, 2013 · Filed July 03, 2013
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 20,818,545 |
Reported balance
After 2013-07-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-07-01 · Other · Acquired 0 · Balance 20,818,545 F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4.
F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds").
F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions.
F4: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a).
F5: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein.
BORDERS GROUP INC
Report date July 25, 2011 · Filed July 27, 2011
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 7 |
Reported balance
After 2011-07-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2011-07-25 · Other · Disposed 1 · Balance 7 F1: The Reporting Person, for the account of Pershing Square International, Ltd. ("PSIL"), entered into a cash-settled total return swap (the "First Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 8, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the First Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.72 for each of the 1,770,100 notional BGP common shares subject to the swap (the "First Swap Reference Shares"), F2: (continued from footnote 1) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.72 for each of the First Swap Reference Shares, plus any dividends paid during the life of the swap. The First Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per First Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per First Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 6 |
Reported balance
After 2011-07-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2011-07-25 · Other · Disposed 1 · Balance 6 F3: The Reporting Person, for the account of Pershing Square, L.P. ("PSI"), entered into a cash-settled total return swap (the "Second Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Second Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.93 for each of the 256,600 notional BGP common shares subject to the swap (the "Second Swap Reference Shares"), F4: (continued from footnote 3) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.93 for each of the Second Swap Reference Shares, plus any dividends paid during the life of the swap. The Second Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Second Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Second Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 5 |
Reported balance
After 2011-07-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2011-07-25 · Other · Disposed 1 · Balance 5 F5: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Third Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Third Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.93 for each of the 343,400 notional BGP common shares subject to the swap (the "Third Swap Reference Shares"), F6: (continued from footnote 5) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.93 for each of the Third Swap Reference Shares, plus any dividends paid during the life of the swap. The Third Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Third Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Third Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 4 |
Reported balance
After 2011-07-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2011-07-25 · Other · Disposed 1 · Balance 4 F7: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Fourth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fourth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.29 for each of the 268,474 notional BGP common shares subject to the swap (the "Fourth Swap Reference Shares"), F8: (continued from footnote 7) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.29 for each of the Fourth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fourth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fourth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Fourth Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 3 |
Reported balance
After 2011-07-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2011-07-25 · Other · Disposed 1 · Balance 3 F9: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Fifth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fifth Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.29 for each of the 366,526 notional BGP common shares subject to the swap (the "Fifth Swap Reference Shares"), F10: (continued from footnote 9) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.29 for each of the Fifth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fifth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fifth Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Fifth Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 2 |
Reported balance
After 2011-07-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2011-07-25 · Other · Disposed 1 · Balance 2 F11: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Sixth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Sixth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.36 for each of the 126,461 notional BGP common shares subject to the swap (the "Sixth Swap Reference Shares"), F12: (continued from footnote 11) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.36 for each of the Sixth Swap Reference Shares, plus any dividends paid during the life of the swap. The Sixth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Sixth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Sixth Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 1 |
Reported balance
After 2011-07-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2011-07-25 · Other · Disposed 1 · Balance 1 F13: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Seventh Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Seventh Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.36 for each of the 178,703 notional BGP common shares subject to the swap (the "Seventh Swap Reference Shares"), F14: (continued from footnote 13) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.36 for each of the Seventh Swap Reference Shares, plus any dividends paid during the life of the swap. The Seventh Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Seventh Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Seventh Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
| Cash Settled Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2011-07-29 | IndirectSee footnote | 0 |
Reported balance
After 2011-07-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2011-07-25 · Other · Disposed 1 · Balance 0 F15: The Reporting Person, for the account of Pershing Square II, L.P. ("PSII"), entered into a cash-settled total return swap (the "Eighth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Eighth Swap, (i) PSII was obligated to pay the counterparty any negative price performance under $9.36 for each of the 1,736 notional BGP common shares subject to the swap (the "Eighth Swap Reference Shares"), F16: (continued from footnote 15) plus interest, and (ii) the counterparty was obligated to pay PSII any positive price performance over $9.36 for each of the Eighth Swap Reference Shares, plus any dividends paid during the life of the swap. The Eighth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Eighth Swap Reference Share. PSII paid the broker-dealer counterparty a commission of $0.01 per Eighth Swap Reference Share. F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person, for the account of Pershing Square International, Ltd. ("PSIL"), entered into a cash-settled total return swap (the "First Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 8, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the First Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.72 for each of the 1,770,100 notional BGP common shares subject to the swap (the "First Swap Reference Shares"),
F2: (continued from footnote 1) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.72 for each of the First Swap Reference Shares, plus any dividends paid during the life of the swap. The First Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per First Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per First Swap Reference Share.
F3: The Reporting Person, for the account of Pershing Square, L.P. ("PSI"), entered into a cash-settled total return swap (the "Second Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Second Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.93 for each of the 256,600 notional BGP common shares subject to the swap (the "Second Swap Reference Shares"),
F4: (continued from footnote 3) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.93 for each of the Second Swap Reference Shares, plus any dividends paid during the life of the swap. The Second Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Second Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Second Swap Reference Share.
F5: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Third Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Third Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.93 for each of the 343,400 notional BGP common shares subject to the swap (the "Third Swap Reference Shares"),
F6: (continued from footnote 5) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.93 for each of the Third Swap Reference Shares, plus any dividends paid during the life of the swap. The Third Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Third Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Third Swap Reference Share.
F7: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Fourth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fourth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.29 for each of the 268,474 notional BGP common shares subject to the swap (the "Fourth Swap Reference Shares"),
F8: (continued from footnote 7) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.29 for each of the Fourth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fourth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fourth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Fourth Swap Reference Share.
F9: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Fifth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fifth Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.29 for each of the 366,526 notional BGP common shares subject to the swap (the "Fifth Swap Reference Shares"),
F10: (continued from footnote 9) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.29 for each of the Fifth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fifth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fifth Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Fifth Swap Reference Share.
F11: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Sixth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Sixth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.36 for each of the 126,461 notional BGP common shares subject to the swap (the "Sixth Swap Reference Shares"),
F12: (continued from footnote 11) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.36 for each of the Sixth Swap Reference Shares, plus any dividends paid during the life of the swap. The Sixth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Sixth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Sixth Swap Reference Share.
F13: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Seventh Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Seventh Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.36 for each of the 178,703 notional BGP common shares subject to the swap (the "Seventh Swap Reference Shares"),
F14: (continued from footnote 13) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.36 for each of the Seventh Swap Reference Shares, plus any dividends paid during the life of the swap. The Seventh Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Seventh Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Seventh Swap Reference Share.
F15: The Reporting Person, for the account of Pershing Square II, L.P. ("PSII"), entered into a cash-settled total return swap (the "Eighth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Eighth Swap, (i) PSII was obligated to pay the counterparty any negative price performance under $9.36 for each of the 1,736 notional BGP common shares subject to the swap (the "Eighth Swap Reference Shares"),
F16: (continued from footnote 15) plus interest, and (ii) the counterparty was obligated to pay PSII any positive price performance over $9.36 for each of the Eighth Swap Reference Shares, plus any dividends paid during the life of the swap. The Eighth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Eighth Swap Reference Share. PSII paid the broker-dealer counterparty a commission of $0.01 per Eighth Swap Reference Share.
F17: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein.
F18: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any.
CERIDIAN CORP /DE/
Report date February 28, 2007 · Filed March 01, 2007
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 20,532,734 |
Reported balance
After 2007-02-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-02-28 · Purchase · Acquired 808,400 · Balance 20,532,734 F1: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by PS Management GP, LLC ("PS Management"), Pershing Square GP, LLC ("PSGP") and William A. Ackman, each of whom has the same business address as PS Capital and may be deemed to have a pecuniary interest in securities beneficially owned by the investment funds referred to herein. F2: Represents 8,980,821 shares held for the account of Pershing Square, L.P. ("PSI"), 111,899 shares held for the account of Pershing Square II, L.P. ("PSII") and 11,440,014 shares held for the account of Pershing Square International, Ltd. ("PSIL"). Each of PSI, PSII and PSIL is an investment fund for which PS Capital acts as investment advisor and may be deemed the beneficial owner of securities beneficially owned by it. PS Management is general partner of PS Capital and may be deemed beneficial owner of securities beneficially owned by it. PSGP is general partner of PSI and PSII and may be deemed beneficial owner of securities beneficially owned by them. Mr. Ackman is the managing member of PSGP and PS Management and may be deemed beneficial owner of securities beneficially owned by them. Each of PS Capital, PS Management, PSGP and Mr. Ackman disclaims beneficial ownership of the securities reported in this Form 4 except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by PS Management GP, LLC ("PS Management"), Pershing Square GP, LLC ("PSGP") and William A. Ackman, each of whom has the same business address as PS Capital and may be deemed to have a pecuniary interest in securities beneficially owned by the investment funds referred to herein.
F2: Represents 8,980,821 shares held for the account of Pershing Square, L.P. ("PSI"), 111,899 shares held for the account of Pershing Square II, L.P. ("PSII") and 11,440,014 shares held for the account of Pershing Square International, Ltd. ("PSIL"). Each of PSI, PSII and PSIL is an investment fund for which PS Capital acts as investment advisor and may be deemed the beneficial owner of securities beneficially owned by it. PS Management is general partner of PS Capital and may be deemed beneficial owner of securities beneficially owned by it. PSGP is general partner of PSI and PSII and may be deemed beneficial owner of securities beneficially owned by them. Mr. Ackman is the managing member of PSGP and PS Management and may be deemed beneficial owner of securities beneficially owned by them. Each of PS Capital, PS Management, PSGP and Mr. Ackman disclaims beneficial ownership of the securities reported in this Form 4 except to the extent of its or his pecuniary interest therein.
Howard Hughes Corp
Report date July 01, 2013 · Filed July 04, 2013
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 3,568,017 |
Reported balance
After 2013-07-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-07-01 · Other · Acquired 0 · Balance 3,568,017 F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Warrants to Purchase Common stock, par value $0.01 per shareSEC Table II · derivative / convertible security · Conversion / exercise price $50.00 · Expires 2017-11-09 | IndirectSee footnotes | 1,916,667 |
Reported balance
After 2013-07-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2013-07-01 · Other · Acquired 0 · Balance 1,916,667 F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $58.38 · Expires 2014-06-30 | IndirectSee footnotes | 1 |
Reported balance
After 2012-06-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2012-06-05 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $73.02 · Expires 2015-10-29 | IndirectSee footnotes | 1 |
Reported balance
After 2012-12-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2012-12-31 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $35.26 · Expires 2015-10-29 | IndirectSee footnotes | 1 |
Reported balance
After 2010-11-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2010-11-09 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $58.38 · Expires 2013-12-31 | IndirectSee footnotes | 1 |
Reported balance
After 2012-06-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2012-06-05 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $73.02 · Expires 2013-12-31 | IndirectSee footnotes | 1 |
Reported balance
After 2012-12-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2012-12-31 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $73.02 · Expires 2014-06-30 | IndirectSee footnotes | 1 |
Reported balance
After 2012-12-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2012-12-31 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $73.02 · Expires 2014-01-02 | IndirectSee footnotes | 1 |
Reported balance
After 2012-12-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2012-12-31 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
| Cash Settled Total Return SwapsSEC Table II · derivative / convertible security · Conversion / exercise price $112.09 · Expires 2014-12-31 | IndirectSee footnotes | 1 |
Reported balance
After 2013-07-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2013-07-01 · Other · Acquired 1 · Balance 1 F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4.
F2: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds").
F3: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions.
F4: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions.
F5: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions.
F6: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a).
F7: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein.
F8: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer.
WENDYS INTERNATIONAL INC
Report date March 17, 2006 · Filed March 17, 2006
Jointly reported with PERSHING SQUARE L P, Pershing Square International, Ltd., PERSHING SQUARE II LP, Pershing Square Investment II, L.P., ACKMAN WILLIAM A, Pershing Square Holdings GP, LLC, Pershing Square Capital Management, L.P., PSCM GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,314,500 |
Reported balance
After 2006-03-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-03-17 · Sale · Disposed 22,500 · Balance 1,314,500 F1: Represents disposition of 19,230 shares of common stock directly beneficially owned by Pershing Square, L.P. and 2,270 shares directly beneficially owned by Pershing Square II, L.P. F2: Represents aggregate number of shares of common stock directly and indirectly beneficially owned by the reporting persons after giving effect to the disposition if 22,500 shares by Pershing Square, L.P. and Pershing Square II, L.P. reported hereunder. Does not include common stock beneficially owned by the reporting persons and its affiliates as a result of ownership of derivative securities as reported on Form 3. |
| Common StockSEC Table I · non-derivative | Direct | 161,777 |
Reported balance
After 2006-03-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2006-03-17 · Sale · Disposed 19,230 · Balance 161,777 F3: Represents shares directly beneficially owned by Pershing Square, L.P. after giving effect to the disposition by such person of 19,230 shares of common stock. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2006-03-17 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2006-03-17 · Sale · Disposed 2,270 · Balance 0 F4: Represents shares of common stock directly beneficially owned by Pershing Square, L.P. after giving effect to the disposition by such person of 2,270 shares of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents disposition of 19,230 shares of common stock directly beneficially owned by Pershing Square, L.P. and 2,270 shares directly beneficially owned by Pershing Square II, L.P.
F2: Represents aggregate number of shares of common stock directly and indirectly beneficially owned by the reporting persons after giving effect to the disposition if 22,500 shares by Pershing Square, L.P. and Pershing Square II, L.P. reported hereunder. Does not include common stock beneficially owned by the reporting persons and its affiliates as a result of ownership of derivative securities as reported on Form 3.
F3: Represents shares directly beneficially owned by Pershing Square, L.P. after giving effect to the disposition by such person of 19,230 shares of common stock.
F4: Represents shares of common stock directly beneficially owned by Pershing Square, L.P. after giving effect to the disposition by such person of 2,270 shares of common stock.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
J C PENNEY CO INC
Report date August 27, 2013 · Filed August 28, 2013
Jointly reported with Pershing Square Capital Management, L.P., PSCM GP, LLC, ACKMAN WILLIAM A
Section 16 reporting ended · disclosed 2013-08-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2013-08-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-08-27 · Sale · Disposed 39,075,771 · Balance 0 F2: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F3: Pershing Square Capital advises certain investment funds, including the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International") and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4.
F2: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013.
F3: Pershing Square Capital advises certain investment funds, including the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International") and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds").
F4: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a).
F5: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 27, 2013 Filed Aug 28, 2013 21:24 UTC | J C PENNEY CO INC JCP · Entity 16599 | SaleCommon Stock | 39,075,771 | $12.90 | $504,077,445.90 |
DisclosureSEC source: 0001209191-13-042226 · c590355_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F2 · kind: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F2 · shares: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F2 · price: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F2 · acquired: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the execution of the Underwriting Agreement, dated August 26, 2013, by and among the Issuer, Pershing Square Capital, on behalf of the Pershing Square Funds (as defined below), and Citigroup Global Markets Inc., the transaction reported in this Form 4 was consummated. For a more detailed description of the transaction, see the amendment to the Schedule 13D filed by the Reporting Persons on August 28, 2013. F3 · ownership.nature: Pershing Square Capital advises certain investment funds, including the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International") and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| July 01, 2013 Filed Jul 4, 2013 00:30 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $17.08 | Not disclosed |
DisclosureSEC source: 0001209191-13-035733 · c563027_4x0.xml · derivative · entry 4 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 28,709 shares Expires 2016-09-22 F4 · kind: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · shares: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · price: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · derivative.exercise_date: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F6 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F7 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| July 01, 2013 Filed Jul 4, 2013 00:30 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 0 | $17.08 | $0.00 |
DisclosureSEC source: 0001209191-13-035733 · c563027_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 39,075,771 F3 · kind: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · shares: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · price: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · acquired: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F6 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F7 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| July 01, 2013 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $112.09 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 10 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 7,755 shares Expires 2014-12-31 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| July 01, 2013 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherWarrants to Purchase Common stock, par value $0.01 per share · Derivative | 0 | Not disclosed Strike: $50.00 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,916,667 Underlying: Common stock, par value $0.01 per share · 1,916,667 shares Expires 2017-11-09 F4 · kind: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · shares: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · price: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · derivative.exercise_date: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| July 01, 2013 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCommon stock, par value $0.01 per share | 0 | $112.09 | $0.00 |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 3,568,017 F3 · kind: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · shares: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · price: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · acquired: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| July 01, 2013 Filed Jul 3, 2013 20:42 UTC | BEAM INC BEAM · Entity 16556 | OtherCommon Stock | 0 | $63.11 | $0.00 |
DisclosureSEC source: 0001209191-13-035736 · c563019_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,818,545 F3 · kind: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · shares: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · price: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F3 · acquired: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions reported were consummated: PSH purchased 52,117 shares from PS and 429,861 from INTL, for an aggregate purchase of 481,978 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 9 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,501,002 shares Expires 2014-01-02 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 8 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 218,970 shares Expires 2014-06-30 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 7 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 269,551 shares Expires 2013-12-31 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 4 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,247,047 shares Expires 2015-10-29 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherWarrants to Purchase Common stock, par value $0.01 per share · Derivative | 0 | Not disclosed Strike: $50.00 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,916,667 Underlying: Common stock, par value $0.01 per share · 1,916,667 shares Expires 2017-11-09 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCommon stock, par value $0.01 per share | 0 | $73.02 | $0.00 |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 3,568,017 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · acquired: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2012 Filed Jan 3, 2013 20:42 UTC | BEAM INC BEAM · Entity 16556 | OtherCommon Stock | 0 | $61.09 | $0.00 |
DisclosureSEC source: 0001209191-13-001705 · c30955_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,818,545 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · acquired: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:54 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $19.71 | Not disclosed |
DisclosureSEC source: 0001209191-13-001708 · c30954_4x0.xml · derivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 15,892,457 shares Expires 2016-09-22 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jan 4, 2013 01:54 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 0 | $19.71 | $0.00 |
DisclosureSEC source: 0001209191-13-001708 · c30954_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 39,075,771 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · acquired: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| December 31, 2012 Filed Jul 4, 2013 00:30 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $19.71 | Not disclosed |
DisclosureSEC source: 0001209191-13-035733 · c563027_4x0.xml · derivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 15,863,748 shares Expires 2016-09-22 F4 · kind: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · shares: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · price: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · derivative.exercise_date: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F6 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F7 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 9 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,501,002 shares Expires 2014-01-02 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 8 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 218,970 shares Expires 2014-06-30 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 7 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 269,551 shares Expires 2013-12-31 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| December 31, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $73.02 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 4 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,247,047 shares Expires 2015-10-29 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| June 05, 2012 Filed Jun 7, 2012 23:15 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | $58.38 | $58.38 |
DisclosureSEC source: 0001181431-12-035322 · rrd348201.xml · derivative · entry 4 ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5 Underlying: Common stock, par value $0.01 per share · 1,501,003 shares Expires 2013-12-31 F6 · derivative.exercise_price: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F7 · kind: The Reporting Persons unwound the total return swaps set forth on the first two rows of Table II that were set to expire on August 29, 2012 and November 9, 2012, respectively, and concurrently entered into the total return swaps set forth on the last two rows of Table II. As a result of these transactions, there was no net change in the notional number of shares of the issuer's Common Stock underlying the total return swaps. F5 · derivative.exercise_date: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · derivative.exercise_date: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F8 · balance_after: As reported on the Form 3 filed by the Reporting Persons on November 19, 2010, in addition to the total return swaps set forth on Table II, the Reporting Persons own (i) a total return swap with 1,250,836 underlying notional shares of Common Stock expiring on October 29, 2015, (ii) a total return swap with 1,501,002 underlying notional shares of Common Stock expiring on January 31, 2013 and (iii) warrants to purchase 1,916,667 shares of Common Stock. F1 · ownership.nature: In addition to William A. Ackman, a citizen of the United States of America, this Form 4 is being filed jointly by Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), PS Management GP, LLC, a Delaware limited liability company ("PS Management"), and Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP" and collectively, the "Reporting Persons"), each of whom has the same business address as Mr. Ackman and may be deemed to have a pecuniary interest in the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands corporation, "Pershing Square International" and together with PS and PS II, the "Pershing Square Funds"). PS Management is the general partner of Pershing Square Capital. Pershing Square GP is the general partner of each of PS and PS II. F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Table II hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · ownership.nature: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. Read SEC document |
| June 05, 2012 Filed Jun 7, 2012 23:15 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | $58.38 | $58.38 |
DisclosureSEC source: 0001181431-12-035322 · rrd348201.xml · derivative · entry 3 ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5 Underlying: Common stock, par value $0.01 per share · 1,146,998 shares Expires 2014-06-30 F6 · derivative.exercise_price: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F7 · kind: The Reporting Persons unwound the total return swaps set forth on the first two rows of Table II that were set to expire on August 29, 2012 and November 9, 2012, respectively, and concurrently entered into the total return swaps set forth on the last two rows of Table II. As a result of these transactions, there was no net change in the notional number of shares of the issuer's Common Stock underlying the total return swaps. F5 · derivative.exercise_date: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · derivative.exercise_date: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F8 · balance_after: As reported on the Form 3 filed by the Reporting Persons on November 19, 2010, in addition to the total return swaps set forth on Table II, the Reporting Persons own (i) a total return swap with 1,250,836 underlying notional shares of Common Stock expiring on October 29, 2015, (ii) a total return swap with 1,501,002 underlying notional shares of Common Stock expiring on January 31, 2013 and (iii) warrants to purchase 1,916,667 shares of Common Stock. F1 · ownership.nature: In addition to William A. Ackman, a citizen of the United States of America, this Form 4 is being filed jointly by Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), PS Management GP, LLC, a Delaware limited liability company ("PS Management"), and Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP" and collectively, the "Reporting Persons"), each of whom has the same business address as Mr. Ackman and may be deemed to have a pecuniary interest in the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands corporation, "Pershing Square International" and together with PS and PS II, the "Pershing Square Funds"). PS Management is the general partner of Pershing Square Capital. Pershing Square GP is the general partner of each of PS and PS II. F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Table II hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · ownership.nature: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. Read SEC document |
| June 05, 2012 Filed Jun 7, 2012 23:15 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | $38.50 Strike: $58.38 | $38.50 |
DisclosureSEC source: 0001181431-12-035322 · rrd348201.xml · derivative · entry 2 ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3 Underlying: Common stock, par value $0.01 per share · 1,501,003 shares Expires 2012-11-09 F7 · kind: The Reporting Persons unwound the total return swaps set forth on the first two rows of Table II that were set to expire on August 29, 2012 and November 9, 2012, respectively, and concurrently entered into the total return swaps set forth on the last two rows of Table II. As a result of these transactions, there was no net change in the notional number of shares of the issuer's Common Stock underlying the total return swaps. F5 · derivative.exercise_date: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · derivative.exercise_date: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F8 · balance_after: As reported on the Form 3 filed by the Reporting Persons on November 19, 2010, in addition to the total return swaps set forth on Table II, the Reporting Persons own (i) a total return swap with 1,250,836 underlying notional shares of Common Stock expiring on October 29, 2015, (ii) a total return swap with 1,501,002 underlying notional shares of Common Stock expiring on January 31, 2013 and (iii) warrants to purchase 1,916,667 shares of Common Stock. F1 · ownership.nature: In addition to William A. Ackman, a citizen of the United States of America, this Form 4 is being filed jointly by Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), PS Management GP, LLC, a Delaware limited liability company ("PS Management"), and Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP" and collectively, the "Reporting Persons"), each of whom has the same business address as Mr. Ackman and may be deemed to have a pecuniary interest in the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands corporation, "Pershing Square International" and together with PS and PS II, the "Pershing Square Funds"). PS Management is the general partner of Pershing Square Capital. Pershing Square GP is the general partner of each of PS and PS II. F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Table II hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · ownership.nature: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. Read SEC document |
| June 05, 2012 Filed Jun 7, 2012 23:15 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | $36.50 Strike: $58.38 | $36.50 |
DisclosureSEC source: 0001181431-12-035322 · rrd348201.xml · derivative · entry 1 ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3 Underlying: Common stock, par value $0.01 per share · 1,146,998 shares Expires 2012-08-29 F7 · kind: The Reporting Persons unwound the total return swaps set forth on the first two rows of Table II that were set to expire on August 29, 2012 and November 9, 2012, respectively, and concurrently entered into the total return swaps set forth on the last two rows of Table II. As a result of these transactions, there was no net change in the notional number of shares of the issuer's Common Stock underlying the total return swaps. F5 · derivative.exercise_date: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · derivative.exercise_date: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. F8 · balance_after: As reported on the Form 3 filed by the Reporting Persons on November 19, 2010, in addition to the total return swaps set forth on Table II, the Reporting Persons own (i) a total return swap with 1,250,836 underlying notional shares of Common Stock expiring on October 29, 2015, (ii) a total return swap with 1,501,002 underlying notional shares of Common Stock expiring on January 31, 2013 and (iii) warrants to purchase 1,916,667 shares of Common Stock. F1 · ownership.nature: In addition to William A. Ackman, a citizen of the United States of America, this Form 4 is being filed jointly by Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), PS Management GP, LLC, a Delaware limited liability company ("PS Management"), and Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP" and collectively, the "Reporting Persons"), each of whom has the same business address as Mr. Ackman and may be deemed to have a pecuniary interest in the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands corporation, "Pershing Square International" and together with PS and PS II, the "Pershing Square Funds"). PS Management is the general partner of Pershing Square Capital. Pershing Square GP is the general partner of each of PS and PS II. F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Table II hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The total return swaps set forth on Table II do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and does not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. F6 · ownership.nature: Under the terms of each total return swap (i) the applicable Pershing Square Fund is obligated to pay to the bank counterparty any negative price performance from the reference price set forth in Table II for each notional share of the issuer's common stock, par value $0.01 per share ("Common Stock") subject to such swap as of the expiration date, plus interest at the rates set forth in the contract, and (ii) the bank counterparty was obligated to pay to the applicable Pershing Square Fund any positive price performance from the reference price set forth in Table II for each notional share of the issuer's Common Stock subject to the swap as of the expiration date. Any dividends received by the counterparty on such notional shares of Common Stock during the term of the swap were to be paid to the applicable Pershing Square Fund. All balances will be settled in cash. Read SEC document |
| June 05, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $58.38 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 6 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,231,452 shares Expires 2013-12-31 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| June 05, 2012 Filed Jan 4, 2013 01:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $58.38 | Not disclosed |
DisclosureSEC source: 0001209191-13-001702 · c30956_4x0.xml · derivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 928,028 shares Expires 2014-06-30 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| June 05, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $58.38 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 6 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 1,231,452 shares Expires 2013-12-31 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| June 05, 2012 Filed Jul 4, 2013 00:39 UTC | Howard Hughes Corp HHC · Entity 15317 | OtherCash Settled Total Return Swaps · Derivative | 1 | Not disclosed Strike: $58.38 | Not disclosed |
DisclosureSEC source: 0001209191-13-035734 · c562999_4x0.xml · derivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common stock, par value $0.01 per share · 920,273 shares Expires 2014-06-30 F5 · kind: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · shares: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · price: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · derivative.exercise_date: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 27,790 shares from PS and 174,748 shares from Pershing Square International, for an aggregate purchase of 202,538 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 4,823 warrants from PS and 39,779 warrants from Pershing Square International, for an aggregate purchase of 44,602 warrants. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square International sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F6 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F7 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F8 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherOption to Purchase Common Stock · Derivative | 100,000 | Not disclosed Strike: $30.00 | Not disclosed |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · derivative · entry 8 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2012-01-21 F9 · shares: Disposition represents the automatic exercise of options at expiration in accordance with the terms of such options. F7 · price: Not applicable. F6 · derivative.exercise_date: Immediate. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The options to purchase shares of common stock set forth on Table II do not give any of the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherOption to Purchase Common Stock · Derivative | 100,200 | Not disclosed Strike: $25.00 | Not disclosed |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · derivative · entry 7 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 100,200 shares Expires 2012-01-21 F9 · shares: Disposition represents the automatic exercise of options at expiration in accordance with the terms of such options. F7 · price: Not applicable. F6 · derivative.exercise_date: Immediate. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The options to purchase shares of common stock set forth on Table II do not give any of the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherOption to Purchase Common Stock · Derivative | 100,000 | Not disclosed Strike: $22.50 | Not disclosed |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · derivative · entry 6 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2012-01-21 F9 · shares: Disposition represents the automatic exercise of options at expiration in accordance with the terms of such options. F7 · price: Not applicable. F6 · derivative.exercise_date: Immediate. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The options to purchase shares of common stock set forth on Table II do not give any of the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherOption to Purchase Common Stock · Derivative | 60,000 | Not disclosed Strike: $20.00 | Not disclosed |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · derivative · entry 5 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2012-01-21 F9 · shares: Disposition represents the automatic exercise of options at expiration in accordance with the terms of such options. F7 · price: Not applicable. F6 · derivative.exercise_date: Immediate. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The options to purchase shares of common stock set forth on Table II do not give any of the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 100,000 | $30.00 | $3,000,000.00 |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · nonDerivative · entry 4 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 39,075,771 F8 · shares: Acquired as a result of the automatic exercise of options at expiration in accordance with the terms of such options. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 100,200 | $25.00 | $2,505,000.00 |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · nonDerivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,975,771 F8 · shares: Acquired as a result of the automatic exercise of options at expiration in accordance with the terms of such options. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 100,000 | $22.50 | $2,250,000.00 |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · nonDerivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,875,571 F8 · shares: Acquired as a result of the automatic exercise of options at expiration in accordance with the terms of such options. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| January 21, 2012 Filed Jan 24, 2012 20:46 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherCommon Stock | 60,000 | $20.00 | $1,200,000.00 |
DisclosureSEC source: 0001209191-12-005108 · c26844_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,775,571 F8 · shares: Acquired as a result of the automatic exercise of options at expiration in accordance with the terms of such options. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II") and Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I and II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| September 22, 2011 Filed Sep 26, 2011 15:10 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $26.14 | Not disclosed |
DisclosureSEC source: 0001209191-11-048967 · c22737_4x0.xml · derivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 15,969,239 shares Expires 2016-09-22 F6 · price: Under the terms of the cash?settled total return swaps (i) certain of the Pershing Square Funds will be obligated to pay to the bank counterparty any negative price performance of the 15,969,239 notional number of shares of Common Stock subject to the swap, plus interest at the rates set forth in the applicable contracts, and (ii) the bank counterparty will be obligated to pay certain of the Pershing Square Funds any positive price performance of the 15,969,239 notional number of shares of Common Stock subject to the swap. Any dividends received by the bank counterparty on such notional shares of Common Stock during the term of the swap will be paid to the Pershing Square Fund. All balances will be settled in cash. F6 · derivative.exercise_date: Under the terms of the cash?settled total return swaps (i) certain of the Pershing Square Funds will be obligated to pay to the bank counterparty any negative price performance of the 15,969,239 notional number of shares of Common Stock subject to the swap, plus interest at the rates set forth in the applicable contracts, and (ii) the bank counterparty will be obligated to pay certain of the Pershing Square Funds any positive price performance of the 15,969,239 notional number of shares of Common Stock subject to the swap. Any dividends received by the bank counterparty on such notional shares of Common Stock during the term of the swap will be paid to the Pershing Square Fund. All balances will be settled in cash. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it. F2 · ownership.nature: Pershing Square advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly?owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International" and together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Table II hereof (the "Subject Securities") for purposes of Rule 16a?1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a?1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a?1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F5 · ownership.nature: The total return swaps set forth on Table II do not give any of the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| September 22, 2011 Filed Jan 4, 2013 01:54 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $26.14 | Not disclosed |
DisclosureSEC source: 0001209191-13-001708 · c30954_4x0.xml · derivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 76,782 shares Expires 2016-09-22 F2 · kind: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · shares: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · price: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F2 · derivative.exercise_date: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: In connection with the formation and capitalization of Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH"), a new fund advised by Pershing Square Capital, the transactions reported in this Form 4 were consummated. In connection with such transactions, there was no change in beneficial ownership of the Reporting Persons. For a more detailed description of these transactions, see the amendment to the Schedule 13D filed by the Reporting Persons on January 3, 2013. F3 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), PSH (together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F4 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F5 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F6 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| September 22, 2011 Filed Jul 4, 2013 00:30 UTC | J C PENNEY CO INC JCP · Entity 16599 | OtherTotal Return Swap · Derivative | 1 | Not disclosed Strike: $26.14 | Not disclosed |
DisclosureSEC source: 0001209191-13-035733 · c563027_4x0.xml · derivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1 Underlying: Common Stock · 76,782 shares Expires 2016-09-22 F4 · kind: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · shares: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · price: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · derivative.exercise_date: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to have a pecuniary interest in securities owned by it on this Form 4. F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company ("INTL") (together with its wholly-owned subsidiary PSRH, Inc., a Cayman Islands exempted company, "Pershing Square International"), and Pershing Square Holdings, Ltd., a limited liability company incorporated in Guernsey ("PSH" and together with PS, PS II and Pershing Square International, the "Pershing Square Funds"). F3 · ownership.nature: In connection with a rebalancing of the Pershing Square Funds, the following transactions were consummated: PSH purchased 147,612 shares from PS and 1,119,503 from INTL, for an aggregate purchase of 1,267,115 shares. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F4 · ownership.nature: INTL sold 28,709 notional shares to its counterparty and PS II purchased 28,709 notional shares from its counterparty. There was no change in the overall beneficial ownership of the Reporting Persons in connection with such transactions. F5 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth in this Form 4 (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F6 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. F7 · ownership.nature: The total return swaps set forth on Table II do not give the Pershing Square Funds or the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the issuer. Read SEC document |
| August 09, 2011 Filed Aug 9, 2011 21:53 UTC | BEAM INC FO · Entity 16556 | PurchaseCommon Stock | 1,245,054 | $52.78 | $65,713,950.12 |
DisclosureSEC source: 0001209191-11-043292 · c21241_4x0.xml · nonDerivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,818,545 F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, , a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to beneficially own the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company, ("Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| August 08, 2011 Filed Aug 9, 2011 21:53 UTC | BEAM INC FO · Entity 16556 | PurchaseCommon Stock | 1,543,243 | $52.67 | $81,282,608.81 |
DisclosureSEC source: 0001209191-11-043292 · c21241_4x0.xml · nonDerivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 19,573,491 F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, , a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to beneficially own the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company, ("Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| August 05, 2011 Filed Aug 9, 2011 21:53 UTC | BEAM INC FO · Entity 16556 | PurchaseCommon Stock | 860,215 | $54.47 | $46,855,911.05 |
DisclosureSEC source: 0001209191-11-043292 · c21241_4x0.xml · nonDerivative · entry 1 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 18,030,248 F1 · ownership.nature: In addition to Pershing Square Capital Management, L.P., a Delaware limited partnership ("Pershing Square Capital"), this Form 4 is being filed jointly by PS Management GP, LLC, a Delaware limited liability company ("PS Management"), Pershing Square GP, LLC, , a Delaware limited liability company ("Pershing Square GP"), and William A. Ackman, a citizen of the United States of America (collectively, the "Reporting Persons"), each of whom has the same business address as Pershing Square Capital and may be deemed to beneficially own the securities reported on this Form 4 (the "Subject Securities"). F2 · ownership.nature: Pershing Square Capital advises the accounts of Pershing Square, L.P., a Delaware limited partnership ("PS"), Pershing Square II, L.P., a Delaware limited partnership ("PS II"), Pershing Square International, Ltd., a Cayman Islands exempted company, ("Pershing Square International", together with PS and PS II, the "Pershing Square Funds"). F3 · ownership.nature: Pershing Square Capital, as the investment adviser to the Pershing Square Funds, may be deemed to be the beneficial owner of the securities set forth on Tables I hereof (the "Subject Securities") for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. As the general partner of Pershing Square Capital, PS Management may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). As the general partner of PS and PS II, Pershing Square GP may be deemed to be the beneficial owner of the shares of Subject Securities owned by PS and PS II for purposes of Rule 16a-1(a). By virtue of William A. Ackman's position as Chief Executive Officer of Pershing Square Capital and managing member of each of PS Management and Pershing Square GP, William A. Ackman may be deemed to be the beneficial owner of the Subject Securities for purposes of Rule 16a-1(a). F4 · ownership.nature: Each of the Reporting Persons disclaims any beneficial ownership of any of the securities listed in this Form 4, except to the extent of any pecuniary interest therein. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 8 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,736 shares Expires 2011-07-29 F15 · kind: The Reporting Person, for the account of Pershing Square II, L.P. ("PSII"), entered into a cash-settled total return swap (the "Eighth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Eighth Swap, (i) PSII was obligated to pay the counterparty any negative price performance under $9.36 for each of the 1,736 notional BGP common shares subject to the swap (the "Eighth Swap Reference Shares"), F16 · kind: (continued from footnote 15) plus interest, and (ii) the counterparty was obligated to pay PSII any positive price performance over $9.36 for each of the Eighth Swap Reference Shares, plus any dividends paid during the life of the swap. The Eighth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Eighth Swap Reference Share. PSII paid the broker-dealer counterparty a commission of $0.01 per Eighth Swap Reference Share. F15 · price: The Reporting Person, for the account of Pershing Square II, L.P. ("PSII"), entered into a cash-settled total return swap (the "Eighth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Eighth Swap, (i) PSII was obligated to pay the counterparty any negative price performance under $9.36 for each of the 1,736 notional BGP common shares subject to the swap (the "Eighth Swap Reference Shares"), F16 · price: (continued from footnote 15) plus interest, and (ii) the counterparty was obligated to pay PSII any positive price performance over $9.36 for each of the Eighth Swap Reference Shares, plus any dividends paid during the life of the swap. The Eighth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Eighth Swap Reference Share. PSII paid the broker-dealer counterparty a commission of $0.01 per Eighth Swap Reference Share. F15 · derivative.exercise_date: The Reporting Person, for the account of Pershing Square II, L.P. ("PSII"), entered into a cash-settled total return swap (the "Eighth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Eighth Swap, (i) PSII was obligated to pay the counterparty any negative price performance under $9.36 for each of the 1,736 notional BGP common shares subject to the swap (the "Eighth Swap Reference Shares"), F16 · derivative.exercise_date: (continued from footnote 15) plus interest, and (ii) the counterparty was obligated to pay PSII any positive price performance over $9.36 for each of the Eighth Swap Reference Shares, plus any dividends paid during the life of the swap. The Eighth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Eighth Swap Reference Share. PSII paid the broker-dealer counterparty a commission of $0.01 per Eighth Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 7 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1 Underlying: Common Stock · 178,703 shares Expires 2011-07-29 F13 · kind: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Seventh Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Seventh Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.36 for each of the 178,703 notional BGP common shares subject to the swap (the "Seventh Swap Reference Shares"), F14 · kind: (continued from footnote 13) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.36 for each of the Seventh Swap Reference Shares, plus any dividends paid during the life of the swap. The Seventh Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Seventh Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Seventh Swap Reference Share. F13 · price: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Seventh Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Seventh Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.36 for each of the 178,703 notional BGP common shares subject to the swap (the "Seventh Swap Reference Shares"), F14 · price: (continued from footnote 13) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.36 for each of the Seventh Swap Reference Shares, plus any dividends paid during the life of the swap. The Seventh Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Seventh Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Seventh Swap Reference Share. F13 · derivative.exercise_date: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Seventh Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Seventh Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.36 for each of the 178,703 notional BGP common shares subject to the swap (the "Seventh Swap Reference Shares"), F14 · derivative.exercise_date: (continued from footnote 13) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.36 for each of the Seventh Swap Reference Shares, plus any dividends paid during the life of the swap. The Seventh Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Seventh Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Seventh Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 6 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2 Underlying: Common Stock · 126,461 shares Expires 2011-07-29 F11 · kind: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Sixth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Sixth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.36 for each of the 126,461 notional BGP common shares subject to the swap (the "Sixth Swap Reference Shares"), F12 · kind: (continued from footnote 11) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.36 for each of the Sixth Swap Reference Shares, plus any dividends paid during the life of the swap. The Sixth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Sixth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Sixth Swap Reference Share. F11 · price: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Sixth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Sixth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.36 for each of the 126,461 notional BGP common shares subject to the swap (the "Sixth Swap Reference Shares"), F12 · price: (continued from footnote 11) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.36 for each of the Sixth Swap Reference Shares, plus any dividends paid during the life of the swap. The Sixth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Sixth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Sixth Swap Reference Share. F11 · derivative.exercise_date: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Sixth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 14, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Sixth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.36 for each of the 126,461 notional BGP common shares subject to the swap (the "Sixth Swap Reference Shares"), F12 · derivative.exercise_date: (continued from footnote 11) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.36 for each of the Sixth Swap Reference Shares, plus any dividends paid during the life of the swap. The Sixth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Sixth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Sixth Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 5 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3 Underlying: Common Stock · 366,526 shares Expires 2011-07-29 F9 · kind: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Fifth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fifth Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.29 for each of the 366,526 notional BGP common shares subject to the swap (the "Fifth Swap Reference Shares"), F10 · kind: (continued from footnote 9) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.29 for each of the Fifth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fifth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fifth Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Fifth Swap Reference Share. F9 · price: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Fifth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fifth Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.29 for each of the 366,526 notional BGP common shares subject to the swap (the "Fifth Swap Reference Shares"), F10 · price: (continued from footnote 9) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.29 for each of the Fifth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fifth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fifth Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Fifth Swap Reference Share. F9 · derivative.exercise_date: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Fifth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fifth Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.29 for each of the 366,526 notional BGP common shares subject to the swap (the "Fifth Swap Reference Shares"), F10 · derivative.exercise_date: (continued from footnote 9) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.29 for each of the Fifth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fifth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fifth Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Fifth Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 4 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4 Underlying: Common Stock · 268,474 shares Expires 2011-07-29 F7 · kind: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Fourth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fourth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.29 for each of the 268,474 notional BGP common shares subject to the swap (the "Fourth Swap Reference Shares"), F8 · kind: (continued from footnote 7) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.29 for each of the Fourth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fourth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fourth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Fourth Swap Reference Share. F7 · price: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Fourth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fourth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.29 for each of the 268,474 notional BGP common shares subject to the swap (the "Fourth Swap Reference Shares"), F8 · price: (continued from footnote 7) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.29 for each of the Fourth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fourth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fourth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Fourth Swap Reference Share. F7 · derivative.exercise_date: The Reporting Person, for the account of PSI, entered into a cash-settled total return swap (the "Fourth Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 11, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Fourth Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.29 for each of the 268,474 notional BGP common shares subject to the swap (the "Fourth Swap Reference Shares"), F8 · derivative.exercise_date: (continued from footnote 7) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.29 for each of the Fourth Swap Reference Shares, plus any dividends paid during the life of the swap. The Fourth Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Fourth Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Fourth Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 3 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5 Underlying: Common Stock · 343,400 shares Expires 2011-07-29 F5 · kind: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Third Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Third Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.93 for each of the 343,400 notional BGP common shares subject to the swap (the "Third Swap Reference Shares"), F6 · kind: (continued from footnote 5) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.93 for each of the Third Swap Reference Shares, plus any dividends paid during the life of the swap. The Third Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Third Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Third Swap Reference Share. F5 · price: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Third Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Third Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.93 for each of the 343,400 notional BGP common shares subject to the swap (the "Third Swap Reference Shares"), F6 · price: (continued from footnote 5) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.93 for each of the Third Swap Reference Shares, plus any dividends paid during the life of the swap. The Third Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Third Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Third Swap Reference Share. F5 · derivative.exercise_date: The Reporting Person, for the account of PSIL, entered into a cash-settled total return swap (the "Third Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Third Swap, (i) PSIL was obligated to pay the counterparty any negative price performance under $9.93 for each of the 343,400 notional BGP common shares subject to the swap (the "Third Swap Reference Shares"), F6 · derivative.exercise_date: (continued from footnote 5) plus interest, and (ii) the counterparty was obligated to pay PSIL any positive price performance over $9.93 for each of the Third Swap Reference Shares, plus any dividends paid during the life of the swap. The Third Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Third Swap Reference Share. PSIL paid the broker-dealer counterparty a commission of $0.01 per Third Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| July 25, 2011 Filed Jul 27, 2011 17:23 UTC | BORDERS GROUP INC BGP · Entity 16843 | OtherCash Settled Total Return Swap · Derivative | 1 | Not disclosed Strike: $0.16 | Not disclosed |
DisclosureSEC source: 0001209191-11-041155 · c20490_4x0.xml · derivative · entry 2 Pershing Square Capital Management, L.P. · CIK 0001336528 · 10% owner PS Management GP, LLC · CIK 0001336477 · 10% owner Pershing Square GP, LLC · CIK 0001336476 · 10% owner ACKMAN WILLIAM A · CIK 0001056513 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6 Underlying: Common Stock · 256,600 shares Expires 2011-07-29 F3 · kind: The Reporting Person, for the account of Pershing Square, L.P. ("PSI"), entered into a cash-settled total return swap (the "Second Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Second Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.93 for each of the 256,600 notional BGP common shares subject to the swap (the "Second Swap Reference Shares"), F4 · kind: (continued from footnote 3) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.93 for each of the Second Swap Reference Shares, plus any dividends paid during the life of the swap. The Second Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Second Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Second Swap Reference Share. F3 · price: The Reporting Person, for the account of Pershing Square, L.P. ("PSI"), entered into a cash-settled total return swap (the "Second Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Second Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.93 for each of the 256,600 notional BGP common shares subject to the swap (the "Second Swap Reference Shares"), F4 · price: (continued from footnote 3) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.93 for each of the Second Swap Reference Shares, plus any dividends paid during the life of the swap. The Second Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Second Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Second Swap Reference Share. F3 · derivative.exercise_date: The Reporting Person, for the account of Pershing Square, L.P. ("PSI"), entered into a cash-settled total return swap (the "Second Swap") with a broker-dealer counterparty for a commission equal to $0.03 per notional share on January 10, 2008, with an initial expiration date of August 5, 2009, subsequently extended to July 29, 2011. Under the terms of the Second Swap, (i) PSI was obligated to pay the counterparty any negative price performance under $9.93 for each of the 256,600 notional BGP common shares subject to the swap (the "Second Swap Reference Shares"), F4 · derivative.exercise_date: (continued from footnote 3) plus interest, and (ii) the counterparty was obligated to pay PSI any positive price performance over $9.93 for each of the Second Swap Reference Shares, plus any dividends paid during the life of the swap. The Second Swap was unwound on July 25, 2011, (the "Unwind Date") at a price of $0.17 per Second Swap Reference Share. PSI paid the broker-dealer counterparty a commission of $0.01 per Second Swap Reference Share. F17 · ownership.nature: In addition to Pershing Square Capital Management, L.P. ("PS Capital"), this Form 4 is being filed jointly by Pershing Square GP, LLC ("PSGP"), PS Management GP, LLC ("PS Management") and William A. Ackman, each of whom has the same business address as PS Capital. PSI, PSII, and PSIL are investment funds for which PS Capital acts as investment advisor or management company and therefore PS Capital may be deemed to be the beneficial owner of the derivative securities reported herein. PS Management is the general partner of PS Capital and therefore may be deemed to be the beneficial owner of the derivative securities reported herein. F18 · ownership.nature: (continued from footnote 17) PSGP is the general partner of PSI and PSII and therefore may be deemed the beneficial owner of the derivative securities held for the accounts of PSI and PSII. William A. Ackman is the managing member of PS Management and therefore may be deemed the beneficial owner of the derivative securities reported herein. Each of PS Capital, PS Management, PSGP, and Mr. Ackman disclaims beneficial ownership of the derivative securities reported herein, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.