Statement of Changes in Beneficial Ownership (4)
26 October 2021 - 8:17AM
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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OMB APPROVAL
OMB Number:
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)
10/21/2021 |
(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 | 10/21/2021 | | S | | 3919 | D | $123.0182 (1) | 10757721 | D | |
Common stock | 10/21/2021 | | S | | 14239 | D | $124.0587 (2) | 10743482 | D | |
Common stock | 10/21/2021 | | S | | 100392 | D | $125.0160 (3) | 10643090 | D | |
Common stock | 10/21/2021 | | S | | 95509 | D | $125.9785 (4) | 10547581 | D | |
Common stock | 10/21/2021 | | S | | 29766 | D | $127.0092 (5) | 10517815 | D | |
Common stock | 10/21/2021 | | S | | 42531 | D | $127.6562 (6) | 10475284 | D | |
Common stock | 10/21/2021 | | S | | 57477 | D | $128.5178 (7) | 10417807 | D | |
Common stock | 10/21/2021 | | S | | 171158 | D | $130.0179 (8) | 10246649 | D | |
Common stock | 10/21/2021 | | S | | 125310 | D | $130.8971 (9) | 10121339 | D | |
Common stock | 10/22/2021 | | S | | 1928 | D | $127.0256 (10) | 10119411 | D | |
Common stock | 10/22/2021 | | S | | 6616 | D | $127.7950 (11) | 10112795 | D | |
Common stock | 10/22/2021 | | S | | 19470 | D | $129.0042 (12) | 10093325 | D | |
Common stock | 10/22/2021 | | S | | 15408 | D | $129.8457 (13) | 10077917 | D | |
Common stock | 10/22/2021 | | S | | 82941 | D | $130.9510 (14) | 9994976 | D | |
Common stock | 10/22/2021 | | S | | 20401 | D | $131.6621 (15) | 9974575 | D | |
Common stock | 10/22/2021 | | S | | 6903 | D | $132.5380 (16) | 9967672 | 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 $122.50 to 123.49. 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 $123.53 to 124.485. 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 $124.50 to 125.49. 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 $125.50 to 126.49. 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 $126.50 to 127.47. 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 $127.51 to 128.48. 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 $128.50 to 129.44. 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. |
(8) | This transaction was executed in multiple trades at prices ranging from $129.57 to 130.49. 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 $130.60 to 131.12. 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. |
(10) | This transaction was executed in multiple trades at prices ranging from $126.30 to 127.28. 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. |
(11) | This transaction was executed in multiple trades at prices ranging from $127.38 to 128.20. 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. |
(12) | This transaction was executed in multiple trades at prices ranging from $128.37 to 129.29. 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. |
(13) | This transaction was executed in multiple trades at prices ranging from $129.375 to 130.29. 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. |
(14) | This transaction was executed in multiple trades at prices ranging from $130.30 to 131.28. 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. |
(15) | This transaction was executed in multiple trades at prices ranging from $131.30 to 132.28. 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. |
(16) | This transaction was executed in multiple trades at prices ranging from $132.30 to 132.87. 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. |
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 | | 10/25/2021 |
**Signature of Reporting Person | Date |
William H. Gates III by /s/ Alan Heuberger, Attorney-in-fact | | 10/25/2021 |
**Signature of Reporting Person | Date |
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