Statement of Changes in Beneficial Ownership (4)
October 21 2021 - 5:23PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CASCADE INVESTMENT, L.L.C. |
2. Issuer Name and Ticker or Trading Symbol
AUTONATION, INC.
[
AN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2365 CARILLON POINT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/19/2021 |
(Street)
KIRKLAND, WA 98033
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock | 10/19/2021 | | S | | 15335 | D | $115.3467 (1) | 10955500 | D | |
Common stock | 10/19/2021 | | S | | 60018 | D | $116.5704 (2) | 10895482 | D | |
Common stock | 10/19/2021 | | S | | 6506 | D | $117.4093 (3) | 10888976 | D | |
Common stock | 10/19/2021 | | S | | 310 | D | $118.3561 (4) | 10888666 | D | |
Common stock | 10/20/2021 | | S | | 22013 | D | $117.1261 (5) | 10866653 | D | |
Common stock | 10/20/2021 | | S | | 21499 | D | $118.36 (6) | 10845154 | D | |
Common stock | 10/20/2021 | | S | | 36656 | D | $119.473 (7) | 10808498 | D | |
Common stock | 10/20/2021 | | S | | 46858 | D | $120.1371 (8) | 10761640 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $114.92 to 115.91. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(2) | This transaction was executed in multiple trades at prices ranging from $115.93 to 116.91. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(3) | This transaction was executed in multiple trades at prices ranging from $116.96 to 117.91. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(4) | This transaction was executed in multiple trades at prices ranging from $117.94 to 118.37. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(5) | This transaction was executed in multiple trades at prices ranging from $116.75 to 117.74. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(6) | This transaction was executed in multiple trades at prices ranging from $117.75 to 118.74. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(7) | This transaction was executed in multiple trades at prices ranging from $118.75 to 119.74. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
(8) | This transaction was executed in multiple trades at prices ranging from $119.75 to 120.45. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CASCADE INVESTMENT, L.L.C. 2365 CARILLON POINT KIRKLAND, WA 98033 |
| X |
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GATES WILLIAM H III 2365 CARILLON POINT KIRKLAND, WA 98033 |
| X |
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Signatures
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Cascade Investment, L.L.C. by /s/ Alan Heuberger, Attorney-in-fact for Michael Larson, Business Manager | | 10/21/2021 |
**Signature of Reporting Person | Date |
William H. Gates III by /s/ Alan Heuberger, Attorney-in-fact | | 10/21/2021 |
**Signature of Reporting Person | Date |
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