-----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, JPmdFN3rGVd8O2I9k1hjKTEt7qhIAvqrm5JHlp/HKfKhtQiV9dOAEWCEhMduv3lU t1TJi+5t1+2qhign1/Ju4Q== 0000950168-00-000204.txt : 20000210 0000950168-00-000204.hdr.sgml : 20000210 ACCESSION NUMBER: 0000950168-00-000204 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONIC AUTOMOTIVE INC CENTRAL INDEX KEY: 0001043509 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500] IRS NUMBER: 562010790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-13395 FILM NUMBER: 528471 BUSINESS ADDRESS: STREET 1: 5401 EAST INDEPENDENCE BLVD STREET 2: PO BOX 18747 CITY: CHARLOTTE STATE: NC ZIP: 28212 BUSINESS PHONE: 7045323354 MAIL ADDRESS: STREET 1: 5401 EAST INDEPENDENCE BLVD CITY: CHARLOTTE STATE: NC ZIP: 28212 COMPANY DATA: COMPANY CONFORMED NAME: SMITH O BRUTON CENTRAL INDEX KEY: 0000931255 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 5401 E INDENPENDENCE BLVD CITY: CHARLOTTE STATE: NC ZIP: 28212 BUSINESS PHONE: 7045323306 MAIL ADDRESS: STREET 1: 5401 E INDEPENDENCE BLVD CITY: CHARLOTTE STATE: NC ZIP: 28212 5 1 SONIC AUTOMOTIVE, INC. FORM 5 FORM 5 OMB APPROVAL [ ] Check box if no longer subject to OMB Number: 3236-0362 Section 16. Form 4 or Form 5 obli- Expires: December 31, 2001 gations may continue. See Instruc- Estimated average burden tion 1(b). hours per response.....1.0 [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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 1. Name and Address of Reporting Person* Smith Ollen Bruton -------------------------------------- (Last) (First) (Middle) in c/o Sonic Automotive, Inc. 5401 East Independence Blvd. -------------------------------------- (Street) Charlotte NC 28212 -------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Sonic Automotive, Inc. ("SAH") -------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) --------------------------------------- 4. Statement for Month/Year 12/99 --------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [X] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Chairman and Chief Executive Officer - ------------------------------------ 7. Individual or Joint/Group Reporting (check applicable line) [X] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of 2. Transaction 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of Security Date (Month/ Code or Disposed of (D) Securities Form: Dir- Indirect (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) Beneficially ect (D) or Benefic- -------------------------- Owned at end of Indirect (I) ial Own- Issuer's Fiscal (Instr. 4) ership Year (Instr.4) Amount (A) or (D) Price (Instr. 3 and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 12/15/99 P 10,000 A $8.125 D - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 12/16/99 P 10,000 A $8.125 D - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 12/17/99 P 10,000 A $8.00 D - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 8/18/99 P 10,000 A $11.625 95,400 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
*If the form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270 (9-96) Form 5 (continued) Table 11 -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. Conversion 3. Transaction 4. Transaction 5. Number of 6. Date Exercisable 7. Title and Amount Derivative or Exercise Date (Month/ Code Derivative and Expiration of Underlying Security Price of Day/Year) (Instr. 8) Securities Date (Month/ Securities (Instr. 3) Derivative Acquired (A) Day/Year) (Instr. 3 and 4) Security or Disposed ---------------- ---------------- of (D) (Instr. 3, 4, and 5) Date Expira- Amount or ---------------- Exer- tion Number of (A) (D) cisable Date Title Shares - ------------------------------------------------------------------------------------------------------------------------------------ Options to purchase $15.44 5/5/99 A 200,000 11/5/99 5/5/09 Class A 200,000 Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Options to purchase $10.06 11/1/99 A 50,000 5/1/00 11/1/09 Class A 50,000 Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 8. Price of 9. Number of 10. Ownership of 11. Nature of Derivative Derivative Derivative Indirect Security Securities Security: Beneficial (Instr. 5) Beneficially Direct (D) or Ownership Owned at End Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------- D - ---------------------------------------------------------------------------- 450,000 D - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ---------------------------------------------------------------------------- - ----------------------------------------------------------------------------
Explanation of Responses: /s/ O. Bruton Smith 2/7/00 --------------------- ------- **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 provided 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. Page 2 SEC 2270 (9-96) -----END PRIVACY-ENHANCED MESSAGE-----