-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Hq/HhpxxGvg8Fqoi9W/Vlas7XO6uFGaPREFNNyjkOGVLfhdT5Tm8NaaNFodPf8oZ IuVLEZXFAkl/vG/KPJJeRg== 0000950134-02-006733.txt : 20020607 0000950134-02-006733.hdr.sgml : 20020607 20020604171308 ACCESSION NUMBER: 0000950134-02-006733 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020531 FILED AS OF DATE: 20020604 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTONATION INC /FL CENTRAL INDEX KEY: 0000350698 STANDARD INDUSTRIAL CLASSIFICATION: REFUSE SYSTEMS [4953] IRS NUMBER: 731105145 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13107 FILM NUMBER: 02670265 BUSINESS ADDRESS: STREET 1: 110 SE 6TH ST CITY: FT LAUDERDALE STATE: FL ZIP: 33301 BUSINESS PHONE: 9547696000 MAIL ADDRESS: STREET 1: 110 SE 6TH ST CITY: FT LAUDERDALE STATE: FL ZIP: 33301 FORMER COMPANY: FORMER CONFORMED NAME: REPUBLIC INDUSTRIES INC DATE OF NAME CHANGE: 19951215 FORMER COMPANY: FORMER CONFORMED NAME: REPUBLIC RESOURCES CORP DATE OF NAME CHANGE: 19900226 FORMER COMPANY: FORMER CONFORMED NAME: REPUBLIC WASTE INDUSTRIES INC DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: ESL INVESTMENTS INC CENTRAL INDEX KEY: 0001126396 OWNER IRS NUMBER: 752435723 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1 LAFAYETTE PL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038614600 MAIL ADDRESS: STREET 1: 1 LAFAYETTE PL CITY: GREENWICH STATE: CT ZIP: 06830 4 1 d97502e4.txt FORM 4 - -------------------------------------------------------------------------------- SEC 1474 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS OF INFORMATION (02-02) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. - -------------------------------------------------------------------------------- - ------ -------------------------- FORM 4 OMB APPROVAL - ------ -------------------------- [ ] CHECK THIS BOX IF NO OMB Number: 3235-0287 LONGER SUBJECT TO Expires: January 31, 2005 SECTION 16. FORM 4 Estimated average burden OR FORM 5 OBLIGATIONS hours per response.... 0.5 MAY CONTINUE. SEE -------------------------- INSTRUCTION 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) ESL INVESTMENTS, INC. AUTONATION, INC. (AN) to Issuer (Check all applicable) - --------------------------------------------- ---------------------------------------------- Director X 10% Owner (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- --- Number of Reporting Month/Year Officer (give Other (Specify ONE LAFAYETTE PLACE Person, if an entity MAY 2002 ---- title --- below) - --------------------------------------------- (voluntary) ------------------- below) (Street) 5. If Amendment, GREENWICH, CT 06830 Date of Original - --------------------------------------------- -------------------- (Month/Year) -------------------------------- (City) (State) (Zip) 7. Individual or Joint/Group Filing ------------- (Check Applicable Line) Form filed by One Reporting --- Person X Form filed by More than One --- Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ ------------------------------------ Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, PAR VALUE $01 PER SHARE - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 40,819,475 D(1) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 S 819,491 D $18.50 39,999,984 D(1) (7) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 7,922,202 D(2) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 7,922,202 D(2) (7) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 1,443,026 D(3) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 1,443,026 D(3) (7) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 9,553,597 D(4) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 S 379,353 D $18.50 9,174,244 D(4) (7) - ------------------------------------------------------------------------------------------------------------------------------------
Page 1 of 13 Pages
- ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ ------------------------------------ Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) COMMON STOCK, PAR VALUE $01 PER SHARE - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 9,000,000 D(5) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 S 180,611 D $18.50 8,819,389 D(5) (7) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Previous Balance 8,000,000 D(6) (7) - ------------------------------------------------------------------------------------------------------------------------------------ 5/21/02 S 160,545 D $18.50 7,839,455 D(6) (7) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). SEC 1474 (7-96)
Page 2 of 13 Pages FORM 4 (CONTINUED)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ NONE - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) These securities are owned by ESL Partners, L.P., a Delaware limited partnership ("ESL"). (2) These securities are owned by ESL Limited, a Bermuda corporation ("Limited"). (3) These securities are owned by ESL Institutional Partners, L.P., a Delaware limited partnership ("Institutional"). (4) These securities are owned by ESL Investors, L.L.C., a Delaware limited liability company ("Investors"). (5) These securities are owned by CBL Partners, L.P., a Delaware limited partnership ("CBL"). (6) These securities are owned by Courtesy Partners, L.P., a Delaware limited partnership ("Courtesy"). (7) This Form 4 is filed on behalf of a group consisting of ESL, Limited, Institutional, Investors, CBL and Courtesy (collectively, the "ESL Parties"), RBS Partners, L.P. ("RBS Partners"), ESL Investment Management, LLC ("ESLIM"), RBS Investment Management, LLC ("RBSIM"), ESL Investments, Inc. ("Investments") and Edward S. Lampert. Pursuant to Section 16, RBS Partners, ESLIM, RBSIM, Investments and Mr. Lampert may be deemed indirect beneficial owners of the securities reported on this Form 4. The general partner of ESL and the manager of Investors is RBS Partners. The general partner of RBS Partners is Investments. ESLIM is the investment manager of Limited. RBSIM is the general partner of Institutional. Investments is the general partner of CBL and Courtesy. Mr. Lampert is a controlling stockholder of Investments and is the managing member of RBSIM and ESLIM. Investments and Mr. Lampert each have less than a 40% interest in each of the ESL Parties. The securities reported as being owned by each of the ESL Parties reflect the total amount of securities beneficially owned by each such entity, which is greater than Mr. Lampert's or Investments' indirect pecuniary interest in such securities. RBSIM has less than a 40% interest in Institutional. The securities reported as being owned by Institutional reflect the total amount of securities beneficially owned by Institutional, which is greater than RBSIM's indirect pecuniary interest in such securities. ESLIM has less than a 40% interest in Limited. The securities reported as being owned by Limited reflect the total amount of securities beneficially owned by Limited, which is greater than ESLIM's indirect pecuniary interest in such securities. RBS Partners has less than a 40% interest in each of ESL and Investors. The securities reported as being owned by ESL reflect the total amount of securities beneficially owned by ESL, which is greater than RBS Partners' indirect pecuniary interest in such securities. The securities reported as being owned by Investors reflect the total amount of securities beneficially owned by Investors, which is greater than RBS Partners' indirect pecuniary interest in such securities. /s/ William C. Crowley June 4, 2002 ------------------------------- -------------- William C. Crowley President **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1474 (7-96)
Page 3 of 13 Pages Joint Filer Information Name: ESL Partners, L.P. Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: ESL PARTNERS, L.P. By: RBS Partners, L.P., its general partner By: ESL Investments, Inc., its general partner By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley President Dated: June 4, 2002 Page 4 of 13 Pages Joint Filer Information Name: ESL Limited Address: Hemisphere House 9 Church Street Hamilton, Bermuda Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: ESL LIMITED By: ESL Investment Management, LLC, its investment manager By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley Member Dated: June 4, 2002 Page 5 of 13 Pages Joint Filer Information Name: ESL Institutional Partners, L.P. Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: ESL INSTITUTIONAL PARTNERS, L.P. By: RBS Investment Management, LLC, its general partner By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley Member Dated: June 4, 2002 Page 6 of 13 Pages Joint Filer Information Name: ESL Investors, LLC Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: ESL INVESTORS, L.L.C. By: RBS Partners, L.P., its manager By: ESL Investments, Inc., its general partner By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley President Dated: June 4, 2002 Page 7 of 13 Pages Joint Filer Information Name: CBL Partners, L.P. Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: CBL PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ William C. Crowley ----------------------------------------- William C. Crowley President Dated: June 4, 2002 Page 8 of 13 Pages Joint Filer Information Name: Courtesy Partners, L.P. Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: COURTESY PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley President Dated: June 4, 2002 Page 9 of 13 Pages Joint Filer Information Name: RBS Investment Management, LLC Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: RBS INVESTMENT MANAGEMENT, LLC By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley Member Dated: June 4, 2002 Page 10 of 13 Pages Joint Filer Information Name: RBS Partners, L.P. Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: RBS PARTNERS, L.P. By: ESL Investments, Inc., its general partner By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley President Dated: June 4, 2002 Page 11 of 13 Pages Joint Filer Information Name: ESL Investment Management, LLC Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: ESL INVESTMENT MANAGEMENT, LLC By: /s/ William C. Crowley -------------------------------------------------- William C. Crowley Member Dated: June 4, 2002 Page 12 of 13 Pages Joint Filer Information Name: Edward S. Lampert Address: One Lafayette Place Greenwich, CT 06830 Designated Filer: ESL Investments, Inc. Issuer & Ticker Symbol: AutoNation, Inc. (AN) Signature: /s/ Edward S. Lampert --------------------------------------------------- EDWARD S. LAMPERT Dated: June 4, 2002 Page 13 of 13 Pages -----END PRIVACY-ENHANCED MESSAGE-----