SLE » Topics » BY CERTAIN BENEFICIAL OWNERS

This excerpt taken from the SLE DEF 14A filed Sep 16, 2009.

BY CERTAIN BENEFICIAL OWNERS

 

The following table sets forth information regarding each person who, we believe, beneficially owned more than 5% of Sara Lee’s outstanding common stock as of September 8, 2009. There are no arrangements known to Sara Lee that may result in a change in control of Sara Lee upon the occurrence of some future event.

 

Name and Address of Beneficial Owner

   Number of Shares
Beneficially
Owned
    Approximate
Percentage of Class
 

Barclays Global Investors, NA

400 Howard Street

San Francisco, CA 94105

   45,356,233 (1)    6.42

Brandes Investment Partners, L.P.

11988 El Camino Real, Suite 500

San Diego, CA 92130

   37,049,986 (2)    5.24

Capital Group International, Inc.

11100 Santa Monica Blvd.

Los Angeles, CA 90025

   37,112,040 (3)    5.2

ValueAct Capital

435 Pacific Avenue, 4th Floor

San Francisco, CA 94133

   34,909,567 (4)    5.02

 

(1)   Based upon information as of December 31, 2008, contained in a Schedule 13G/A filed with the Securities and Exchange Commission (the “SEC”) on February 6, 2009. The Schedule 13G/A states that Barclays Global Investors, NA (“Barclays Investors”), Barclays Global Fund Advisors (“Barclays Advisors”), Barclays Global Investors, LTD (“Barclays LTD”), Barclays Global Investors Japan Limited (“Barclays Japan Limited”), Barclays Global Investors Canada Limited (“Barclays Canada”), Barclays Global Investors Australia Limited (“Barclays Australia”) and Barclays Global Investors (Deutschland) AG (“Barclays AG”) collectively may be deemed to beneficially own 45,356,233 shares of Sara Lee common stock. Of such amount, (i) Barclays Investors has sole voting power as to 22,692,929 shares and sole dispositive power as to 28,297,699 shares, (ii) Barclays Advisors has sole voting power as to 10,140,511 shares and sole dispositive power as to 10,184,831 shares, (iii) Barclays LTD has sole voting power as to 3,286,623 shares and sole dispositive power as to 3,874,358 shares, (iv) Barclays Japan has sole voting and dispositive power as to 2,193,375 shares, (v) Barclays Canada has sole voting and dispositive power as to 748,646 shares, and (vi) Barclays Australia has sole voting and dispositive power as to 57,324 shares. The principal business address of each reporting person is as follows: Barclays Investors and Barclays Advisors–400 Howard Street, San Francisco, CA 94105; Barclays LTD–1 Royal Mint Court, London, EC3N 4HH; Barclays Japan Limited–Ebisu Prime Square Tower, 8th Floor, 1-1-39 Hiroo Shibuya-Ku, Tokyo 150-8402 Japan; Barclays Canada–Brookfield Place, 161 Bay Street, Suite 2500, PO Box 614, Toronto, Canada, Ontario M5J 2s1; Barclays Australia–Level 43, Grosvenor Place, 225 George Street, PO Box N43, Sydney, Australia NSW 1220; and Barclays AG–Apianstrasse 6, D-85774, Unterfohring, Germany. The Schedule 13G amendments states that the shares are held by the reporting persons in trust accounts for the economic benefit of the beneficiaries of the accounts.
(2)   Based upon information as of December 31, 2008, contained in a Schedule 13G/A filed with the SEC on February 12, 2009. The Schedule 13G/A states that Brandes Investment Partners, L.P., Brandes Investment Partners, Inc., Brandes Worldwide Holdings, L.P., Charles H. Brandes, Glenn R. Carlson and Jeffrey A. Busby each may be deemed to share voting power as to 29,551,052 shares, and share dispositive power as to 37,049,986 shares, of Sara Lee common stock in their capacities as a control person of Brandes Investment Partners, L.P., the investment adviser. The address for each of the reporting persons is 11988 El Camino Real, Suite 500, San Diego, CA 92130.
(3)   Based upon information as of December 31, 2008, contained in a Schedule 13G/A filed with the SEC on February 4, 2009. The Schedule 13G/A states that Capital Group International, Inc. beneficially owns 37,112,040 shares of Sara Lee common stock, of which it has sole voting power as to 29,341,850 shares and sole dispositive power as to 37,112,040 shares.
(4)   On September 2, 2008, ValueAct Capital and its affiliates filed with the SEC an amendment to its Schedule 13D in which it reported that it beneficially owns 38,214,771 shares of Sara Lee common stock. The Schedule 13D/A states that ValueAct Capital Master Fund L.P. shares voting and dispositive power with respect to 31,909,567 shares and ValueAct Capital Master Fund III, L.P. shares voting and dispositive power with respect to 6,305,204 shares. On March 6, 2009, Jeffrey W. Ubben, as a member of VA Partners I, LLC, filed with the SEC a Form 4 reporting that ValueAct Capital Master Fund III, L.P. had sold 3,305,204 shares of Sara Lee common stock in the open market and transferred 3,000,000 shares of Sara Lee common stock to ValueAct Capital Master Fund, L.P. These shares also may be deemed to be beneficially owned by (i) VA Partners I, LLC as general partner of ValueAct Capital Master Fund, L.P., (ii) VA Partners III, LLC as general partner of ValueAct Capital Master Fund III, L.P., (iii) ValueAct Capital Management, L.P. as the manager of ValueAct Capital.

 

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This excerpt taken from the SLE DEF 14A filed Sep 16, 2008.

BY CERTAIN BENEFICIAL OWNERS

 

The following table sets forth information regarding each person who, we believe, beneficially owned more than 5% of Sara Lee’s outstanding common stock as of September 3, 2008. There are no arrangements known to Sara Lee that may result in a change in control of Sara Lee upon the occurrence of some future event.

 

Name and Address of Beneficial Owner

   Number of
Shares
Beneficially
Owned
    Approximate
Percentage of Class
 

AXA Financial, Inc.

1290 Avenue of the Americas

New York, New York 10104

   63,145,497 (1)   8.7 %

Barclays Global Investors, NA

45 Fremont Street

San Francisco, CA 94105

   52,577,343 (2)   7.26 %

Brandes Investment Partners, L.P.

11988 El Camino Real, Suite 500

San Diego, CA 92130

   46,863,730 (3)   6.47 %

Capital Group International, Inc.

11100 Santa Monica Blvd.

Los Angeles, CA 90025

   40,301,400 (4)   5.6 %

ValueAct Capital

435 Pacific Avenue, 4th Floor

San Francisco, CA 94133

   38,216,622 (5)   5.41 %

 

(1)   On February 14, 2008, in a joint filing with the Securities and Exchange Commission of an amendment to a Schedule 13G filed by AXA Financial, Inc.; AXA, which owns AXA Financial, Inc.; and AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle and AXA Courtage Assurance Mutuelle (collectively “AXA Mutuelle”) which, as a group control AXA, AXA Mutuelle reported beneficial ownership as of December 31, 2007 of 63,145,497 shares of Sara Lee common stock. According to the filing, AXA Financial, Inc.’s subsidiary, AllianceBernstein L.P., has sole power to dispose or to direct the disposition of 62,437,828 shares, and sole power to vote or to direct the vote of 36,863,068 shares, all of which were acquired solely for investment purposes on behalf of client discretionary investment advisory accounts. AXA Rosenberg Investment Management LLC, as to which AXA serves as a parent holding company, has sole power to dispose or to direct the disposition of 572,401 shares, and sole power to vote or to direct the vote of 391,303 shares, all of which were acquired solely for investment purposes. AXA Financial, Inc.’s subsidiary, AXA Equitable Life Insurance Company, has sole power to dispose or to direct the disposition of 17,970 shares and sole power to vote or to direct the vote of 14,518 shares.
(2)   On February 6, 2008, Barclays Global Investors, NA filed with the Securities and Exchange Commission a Schedule 13G in which it reported that it beneficially owns 52,577,343 shares of Sara Lee common stock. The Schedule 13G states that Barclays Global Investors holds these shares in trust accounts for the economic benefit of beneficiaries of those accounts and in its capacity as an investment advisor.
(3)   On February 14, 2008, Brandes Investment Partners, L.P., filed with the Securities and Exchange Commission a Schedule 13G in which it reported that it beneficially owns 46,863,730 shares of Sara Lee common stock. The Schedule 13G states that Brandes Investment Partners and its control persons and holding company hold these shares in its capacity as an investment advisor registered under the Investment Company Act of 1940.
(4)   On February 12, 2008, Capital Group International, Inc. filed with the Securities and Exchange Commission an amendment to a Schedule 13G in which it reported that it beneficially owns 40,301,400 shares of Sara Lee common stock. The Schedule 13G states that Capital Group International holds these shares in its capacity as an investment management company to various investment companies registered under the Investment Company Act of 1940 and institutional accounts.
(5)  

On September 2, 2008, ValueAct Capital and its affiliates filed with the Securities and Exchange Commission Amendment No. 2 to its Schedule 13D in which it reported that it beneficially owns 38,214,771 shares of Sara Lee common stock. The Schedule 13D/A states that ValueAct Capital Master Fund L.P. shares voting and dispositive power with respect to 31,909,567 shares and ValueAct Capital Master Fund III, L.P. shares voting and dispositive power with respect to 6,305,204 shares. These shares may also be deemed to be beneficially owned by (i) VA Partners I, LLC as general partner of ValueAct Capital Master Fund, L.P., (ii) VA Partners III, LLC as general partner of ValueAct Capital Master Fund III, L.P., (iii) ValueAct Capital Management, L.P. as the manager of ValueAct Capital

 

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Table of Contents
 

Master Fund, L.P. and ValueAct Capital Master Fund III, L.P., (iv) ValueAct Capital Management, LLC as general partner of ValueAct Capital Management, L.P., (v) ValueAct Holdings, L.P. as the sole owner of the limited partnership interests of ValueAct Capital Management, LLC and as the majority owner of the membership interests of VA Partners I, LLC and VA Partners III, LLC; and (vi) ValueAct Holdings GP, LLC as general partner of ValueAct Holdings, L.P. Also includes 1,851 shares issued to Jeffrey W. Ubben as director compensation. Mr. Ubben is a member of the management board of ValueAct Holdings GP, LLC and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

 

This excerpt taken from the SLE DEF 14A filed Sep 14, 2007.

BY CERTAIN BENEFICIAL OWNERS

 

The following table sets forth information regarding each person who, we believe, beneficially owned more than 5% of Sara Lee’s outstanding common stock as of September 4, 2007. There are no arrangements known to Sara Lee that may result in a change in control of Sara Lee upon the occurrence of some future event.

 

Name and Address of Beneficial Owner

   Number of
Shares
Beneficially
Owned
    Approximate
Percentage of Class
 

AXA Financial, Inc.

1290 Avenue of the Americas

New York, New York 10104

   52,057,515 (1)   7.0 %

Brandes Investment Partners, L.P.

11988 El Camino Real, Suite 500

San Diego, CA 92130

   43,523,145 (2)   5.9 %

Capital Group International, Inc.

11100 Santa Monica Blvd.

Los Angeles, CA 90025

   41,792,210 (3)   5.6 %

(1)   On February 13, 2007, in a joint filing with the Securities and Exchange Commission on Schedule 13G by AXA Financial, Inc.; AXA, which owns AXA Financial, Inc.; and AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle and AXA Courtage Assurance Mutuelle (collectively “AXA Mutuelle”) which, as a group control AXA, AXA Mutuelle reported beneficial ownership as of December 31, 2006 of 52,092,081 shares of Sara Lee common stock. According to the filing, AXA Financial, Inc.’s subsidiary, AllianceBernstein L.P., has sole power to dispose or to direct the disposition of 51,951,856 shares, and sole power to vote or to direct the vote of 28,714,532 shares, all of which were acquired solely for investment purposes on behalf of client discretionary investment advisory accounts. AXA Rosenberg Investment Management LLC, as to which AXA serves as a parent holding company, has sole power to dispose or to direct the disposition of 90,787 shares, and sole power to vote or to direct the vote of 61,400 shares, all of which were acquired solely for investment purposes. AXA Financial, Inc.’s subsidiary, AXA Equitable Life Insurance Company, has sole power to dispose or to direct the disposition of 14,870 shares and sole power to vote or to direct the vote of 14,518 shares.
(2)   In a Form 13F filed with the Securities and Exchange Commission on May 15, 2007, Brandes Investment Partners, L.P. reported that as of March 31, 2007 it held sole investment and voting authority with respect to 43,523,145 shares of Sara Lee common stock. A Form 13F is required to be filed by certain institutional investment managers that exercise investment discretion with respect to accounts holding securities with an aggregate fair market value in excess of the amount specified by the SEC.
(3)   On February 12, 2007, Capital Group International, Inc. filed with the Securities and Exchange Commission a Schedule 13G in which it reported that it beneficially owns 41,792,210 shares of Sara Lee common stock. The Schedule 13G states that Capital Group International holds these shares in its capacity as an investment management company to various investment companies registered under the Investment Company Act of 1940 and institutional accounts.

 

This excerpt taken from the SLE DEF 14A filed Sep 22, 2006.

BY CERTAIN BENEFICIAL OWNERS

 

The following table sets forth information regarding each person who, we believe, beneficially owned more than 5% of Sara Lee’s outstanding common stock as of September 1, 2006. There are no arrangements known to Sara Lee that may result in a change in control of Sara Lee upon the occurrence of some future event.

 

Name and Address of Beneficial Owner


   Number of
Shares
Beneficially
Owned


    Approximate
Percentage of Class


 

Capital Research and Management Company

333 South Hope Street

Los Angeles, California 90071

   59,053,100 (1)   7.8 %

(1)   On February 10, 2006, Capital Research and Management Company (“Capital Research”) filed with the Securities and Exchange Commission an amendment to Capital Research’s Schedule 13G in which it reported that it beneficially owns 59,053,100 shares of Sara Lee common stock. In this Schedule 13G amendment, Capital Research states that it holds all of these shares in its capacity as an investment advisor to various investment companies registered under the Investment Company Act of 1940.

 

This excerpt taken from the SLE DEF 14A filed Sep 22, 2005.

BY CERTAIN BENEFICIAL OWNERS

 

The following table sets forth information regarding each person who, we believe, beneficially owned more than 5% of Sara Lee’s outstanding common stock as of September 1, 2005. There are no arrangements known to Sara Lee that may result in a change in control of Sara Lee upon the occurrence of some future event.

 

Name and Address of Beneficial Owner


   Number of
Shares
Beneficially
Owned


  Approximate
Percentage of Class


 

Capital Research and Management Company

333 South Hope Street

Los Angeles, California 90071

   66,567,900(1)   8.5 %

(1)   On February 14, 2005, Capital Research and Management Company (“Capital Research”) filed with the Securities and Exchange Commission an amendment to Capital Research’s Schedule 13G in which it reported that it beneficially owns 66,567,900 shares of Sara Lee common stock. In this Schedule 13G amendment, Capital Research states that it holds all of these shares in its capacity as an investment advisor to various investment companies registered under the Investment Company Act of 1940.

 

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