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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) (6) | $ 12.6 | 05/15/2007 | M | 50,000 | 11/01/2004 | 06/08/2007 | Common Stock | 50,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) (6) | $ 12.56 | 05/15/2007 | M | 20,000 | 11/01/2004 | 06/08/2007 | Common Stock | 20,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) (6) | $ 18.37 | 05/15/2007 | M | 20,000 | 11/01/2004 | 06/08/2007 | Common Stock | 20,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAMPERT EDWARD S 200 GREENWICH AVENUE GREENWICH, CT 06830 |
X |
/s/ Edward S. Lampert | 05/17/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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 shares of common stock, par value $0.01 per share ("Shares"), of AutoNation, Inc. are held by ESL Partners, L.P. |
(2) | These Shares are held by ESL Institutional Partners, L.P. |
(3) | These Shares are held by ESL Investors, L.L.C. |
(4) | These Shares are held by CBL Partners, L.P. |
(5) | These Shares are held by ESL Investment Management, L.P. |
(6) | Granted pursuant to the AutoNation, Inc. 1995 Amended and Restated Non-Employee Director Stock Option Plan. |
Remarks: Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), Mr. Lampert may be deemed to be the beneficial owner of the securities reported herein only to the extent of his pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that Mr. Lampert is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. |