UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPE II Partners, L.P. 1170 KANE CONCOURSE SUITE 200 BAY HARBOR, FL 33154 |
 |  X |  |  |
SPE Master II, L.P. 1170 KANE CONCOURSE SUITE 200 BAY HARBOR, FL 33154 |
 |  X |  |  |
SPE II PARTNERS, LP, By: RBS Partners, L.P., as its general partner, By: ESL Investments, Inc., as its general partner, By: /s/ Edward S. Lampert, Chief Executive Officer | 07/10/2012 | |
**Signature of Reporting Person | Date | |
SPE MASTER II, LP, By: RBS Partners, L.P., as its general partner, By: ESL Investments, Inc., as its general partner, By: /s/ Edward S. Lampert, Chief Executive Officer | 07/10/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These securities are held by SPE II Partners, LP. |
(2) | These securities are held by SPE Master II, LP. |
 Remarks: As previously disclosed in a Form 4 filed on July 3, 2012 by ESL Partners, L.P. ("Partners"), Partners agreed to distribute these shares of common stock of AutoNation, Inc., par value $0.01 per share (each, a "Share"), to limited partners of Partners in accordance with their pro rata interests in Partners. The Shares to be distributed will be contributed to the Reporting Persons in the amounts reflected in this report.  RBS Partners, L.P. ("RBS") is the general partner of each of the Reporting Persons.  In addition to being the general partner of each of the Reporting Persons, RBS is the general partner of Partners.  ESL Investments, Inc. ("Investments") is the general partner of RBS.  Edward S. Lampert is the Chairman, Chief Executive Officer and Director of Investments. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein only to the extent of his or its pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that any of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. |