# EDGAR Filing Document

**Accession Number:** 0001625174
**File Stem:** 0000350698-23-000049
**Filing Date:** 2023-3
**Character Count:** 9140
**Document Hash:** 63b4ad4ad156e49bf805127edc96ec8d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000350698-23-000049.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0000350698-23-000049

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230301

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lower Joseph T
- **CENTRAL INDEX KEY:** 0001625174

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-13107
- **FILM NUMBER:** 23704288

**MAIL ADDRESS:**
- **STREET 1:** 200 SW 1ST AVE
- **STREET 2:** SUITE 1600
- **CITY:** FORT LAUDERDALE
- **STATE:** FL
- **ZIP:** 33301
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AUTONATION, INC.
- **CENTRAL INDEX KEY:** 0000350698
- **STANDARD INDUSTRIAL CLASSIFICATION:** RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500]
- **IRS NUMBER:** 731105145
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 200 SW 1ST AVE
- **STREET 2:** SUITE 1600
- **CITY:** FORT LAUDERDALE
- **STATE:** FL
- **ZIP:** 33301
- **BUSINESS PHONE:** 9547696000

**MAIL ADDRESS:**
- **STREET 1:** 200 SW 1ST AVE
- **STREET 2:** SUITE 1600
- **CITY:** FORT LAUDERDALE
- **STATE:** FL
- **ZIP:** 33301

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AUTONATION, INC. /FL
- **DATE OF NAME CHANGE:** 20090827

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AutoNation, Inc. /FL
- **DATE OF NAME CHANGE:** 20090827

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AUTONATION INC /FL
- **DATE OF NAME CHANGE:** 19990407

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lower Joseph T<br><sub>(Last) (First) (Middle)</sub><br>200 SW 1ST AVE<br>SUITE 1600<br><sub>(Street)</sub><br>FORT LAUDERDALE, FL 33301<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_EVP & CFO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>AUTONATION, INC. [ AN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, par value $0.01 per share | 2023-03-01 |  | M |  | 13435 | A | <sup>(1)</sup> | 32921 | D |  |
| Common Stock, par value $0.01 per share | 2023-03-01 |  | M |  | 6813 | A | <sup>(1)</sup> | 39734 | D |  |
| Common Stock, par value $0.01 per share | 2023-03-01 |  | M |  | 4154 | A | <sup>(1)</sup> | 43888 | D |  |
| Common Stock, par value $0.01 per share | 2023-03-01 |  | M |  | 2953 | A | <sup>(1)</sup> | 46841 | D |  |
| Common Stock, par value $0.01 per share | 2023-03-01 |  | F |  | 10766 | D | $137.24 | 36075 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-01 |  | M |  |  | 13435 | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock, par value $0.01 per share | 13435.0 | $0 | 0 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-01 |  | M |  |  | 6813 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock, par value $0.01 per share | 6813.0 | $0 | 6814 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-01 |  | M |  |  | 4154 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock, par value $0.01 per share | 4154.0 | $0 | 8308 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-01 |  | M |  |  | 2953 | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock, par value $0.01 per share | 2953.0 | $0 | 8861 | D |  |
| Restricted Stock Units | <sup>(1)</sup> | 2023-03-01 |  | A |  | 5830 |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock, par value $0.01 per share | 5830.0 | $0 | 5830 | D |  |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one share of AutoNation common stock, or at AutoNation's election, the cash value thereof.

(2) The reporting person received a grant of 40,305 restricted stock units on January 13, 2020.  The restricted stock units vested in one-third annual increments on each of March 1, 2021, March 1, 2022 and March 1, 2023. Each restricted stock unit represented a contingent right to receive one share of AutoNation common stock, or at AutoNation's election, the cash value thereof.

(3) The reporting person received a grant of 27,254 restricted stock units on March 2, 2020. The restricted stock units vest in 25% annual increments on each of March 2, 2021, March 1, 2022, March 1, 2023 and March 1, 2024. Each restricted stock unit represents a contingent right to receive one share of AutoNation common stock, or at AutoNation's election, the cash value thereof.

(4) The reporting person received a grant of 16,616 restricted stock units on March 1, 2021. The restricted stock units vest in 25% annual increments on each of the first four anniversaries of March 1, 2021. Each restricted stock unit represents a contingent right to receive one share of AutoNation common stock, or at AutoNation's election, the cash value thereof.

(5) The reporting person received a grant of 11,814 restricted stock units on March 1, 2022. The restricted stock units vest in 25% annual increments on each of the first four anniversaries of March 1, 2022. Each restricted stock unit represents a contingent right to receive one share of AutoNation common stock, or at AutoNation's election, the cash value thereof.

(6) The restricted stock units were granted on March 1, 2023 and will vest in one-third annual increments on each of the first three anniversaries of the grant date. Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock or at the registrant's election, the cash value thereof.

**Signature:** /s/ C. Coleman Edmunds, Attorney-in-Fact  
**Date:** 2023-03-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**