Trading Symbol: S
CUSIP Number: 812387108 & OPTIONS
TERMS OF THE SETTLEMENT: The Settlement consists of $550,000 in cash and will include interest on the Settlement Fund prior to distribution.
CLASS DESCRIPTION:
On behalf of:
(a) Investors who sold Sears, Roebuck & Co.’s shares during the Class period of September 9, 2004 to November 16, 2004, excluding the short sellers of Sears’ shares, except for those short sellers who remained in a short position at the close of trading on November 16, 2004;
(b) Sellers of Sears’ call options during the Class Period whose call option positions remained open after the close of trading on November 16, 2004;
(c) Buyers of Sears’ put options who purchased their put options during the Class Period, whose put options positions remained open as of the close of trading on November 16, 2004;
(d) Buyers of Sears’ call options during the Class Period whose call options expired worthless before the last day of the class period; and/or
(e) Sellers of Sears’ put options during the Class Period who covered those put options during the Class Period.
IMPORTANT DATES:
DATE TO SEEK EXCLUSION
FROM THE CLASS: JANUARY 7, 2011
DATE FOR SUBMISSION OF
PROOF OF CLAIM FORMS: APRIL 21, 2011
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