Statement of Changes in Beneficial Ownership (4)
October 27 2021 - 4:47PM
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)
10/25/2021 |
(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 | 10/25/2021 | | S | | 3533 | D | $129.9033 (1) | 9964139 | D | |
Common stock | 10/25/2021 | | S | | 30395 | D | $131.1831 (2) | 9933744 | D | |
Common stock | 10/25/2021 | | S | | 29677 | D | $131.6862 (3) | 9904067 | D | |
Common stock | 10/25/2021 | | S | | 9305 | D | $132.9361 (4) | 9894762 | D | |
Common stock | 10/26/2021 | | S | | 2261 | D | $126.2102 (5) | 9892501 | D | |
Common stock | 10/26/2021 | | S | | 5400 | D | $127.5052 (6) | 9887101 | D | |
Common stock | 10/26/2021 | | S | | 9863 | D | $128.5762 (7) | 9877238 | D | |
Common stock | 10/26/2021 | | S | | 4835 | D | $129.0146 (8) | 9872403 | D | |
Common stock | 10/26/2021 | | S | | 1100 | D | $130.4583 (9) | 9871303 | 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 $129.45 to 130.39. 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 $130.49 to 131.44. 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 $131.45 to 132.44. 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 $132.48 to 133.37. 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 $125.89 to 126.87. 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 $126.94 to 127.88. 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 $127.89 to 128.88. 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 $128.89 to 129.30. 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. |
(9) | This transaction was executed in multiple trades at prices ranging from $129.90 to 130.75. 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 | | 10/27/2021 |
**Signature of Reporting Person | Date |
William H. Gates III by /s/ Alan Heuberger, Attorney-in-fact | | 10/27/2021 |
**Signature of Reporting Person | Date |
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