CUSIP No. 05329W102
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1. Names of Reporting Persons.
ESL Partners, L.P.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
36,630,644
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8. Shared Voting Power
0
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9. Sole Dispositive Power
36,630,644
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10. Shared Dispositive Power
18,627,332
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
55,257,976
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
45.2% (1)
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14. Type of Reporting Person (See Instructions)
PN
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
ESL Investors, L.L.C.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
6,346,058
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8. Shared Voting Power
0
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9. Sole Dispositive Power
6,346,058
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10. Shared Dispositive Power
0
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
6,346,058
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
5.2% (1)
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14. Type of Reporting Person (See Instructions)
OO
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
RBS Partners, L.P.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
42,976,702
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8. Shared Voting Power
0
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9. Sole Dispositive Power
42,976,702
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10. Shared Dispositive Power
18,627,332
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
61,604,034
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
50.4% (1)
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14. Type of Reporting Person (See Instructions)
PN
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
ESL Institutional Partners, L.P.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
6,526
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8. Shared Voting Power
0
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9. Sole Dispositive Power
6,526
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10. Shared Dispositive Power
0
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
6,526
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
0.0% (1)
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14. Type of Reporting Person (See Instructions)
PN
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
RBS Investment Management, L.L.C.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
|
7. Sole Voting Power
6,526
|
8. Shared Voting Power
0
|
|
9. Sole Dispositive Power
6,526
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|
10. Shared Dispositive Power
0
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|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
6,526
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
0.0% (1)
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14. Type of Reporting Person (See Instructions)
OO
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
CBL Partners, L.P.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
5,080,682
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8. Shared Voting Power
0
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9. Sole Dispositive Power
5,080,682
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10. Shared Dispositive Power
0
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,080,682
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
4.2% (1)
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14. Type of Reporting Person (See Instructions)
PN
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
ESL Investments, Inc.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
48,063,910
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8. Shared Voting Power
0
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9. Sole Dispositive Power
48,063,910
|
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10. Shared Dispositive Power
18,627,332
|
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
66,691,242
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
54.6% (1)
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14. Type of Reporting Person (See Instructions)
CO
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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CUSIP No. 05329W102
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1. Names of Reporting Persons.
Edward S. Lampert
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) R
(b) £
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3. SEC Use Only
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4. Source of Funds (See Instructions)
N/A
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o
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6. Citizenship or Place of Organization
United States
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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7. Sole Voting Power
66,691,242
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8. Shared Voting Power
0
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9. Sole Dispositive Power
48,063,910
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|
10. Shared Dispositive Power
18,627,332
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|
11. Aggregate Amount Beneficially Owned by Each Reporting Person
66,691,242
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|
12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
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13. Percent of Class Represented by Amount in Row (11)
54.6% (1)
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14. Type of Reporting Person (See Instructions)
IN
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(1)
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Based upon 122,170,592 shares of common stock outstanding as of April 24, 2012, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 that was filed by the Issuer with the Securities and Exchange Commission on April 25, 2012.
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REPORTING PERSON
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NUMBER OF SHARES BENEFICIALLY OWNED
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PERCENTAGE OF OUTSTANDING SHARES
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SOLE VOTING POWER
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SHARED VOTING POWER
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SOLE DISPOSITIVE POWER
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SHARED DISPOSITIVE POWER
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ESL Partners, L.P.
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55,257,976
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45.2%
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36,630,644
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0
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36,630,644
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18,627,332 (6)
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ESL Investors, L.L.C.
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6,346,058
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5.2%
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6,346,058
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0
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6,346,058
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0
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RBS Partners, L.P.
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61,604,034
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50.4%
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42,976,702 (1)
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0
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42,976,702 (1)
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18,627,332 (6)
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ESL Institutional Partners, L.P.
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6,526
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0.0%
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6,526
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0
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6,526
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0
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RBS Investment Management, L.L.C.
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6,526
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0.0%
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6,526 (2)
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0
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6,526 (2)
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0
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CBL Partners, L.P.
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5,080,682
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4.2%
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5,080,682
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0
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5,080,682
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0
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ESL Investments, Inc.
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66,691,242
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54.6%
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48,063,910 (3)
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0
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48,063,910 (3)
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18,627,332 (6)
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Edward S. Lampert
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66,691,242
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54.6%
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66,691,242 (4)
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0
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48,063,910 (5)
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18,627,332 (6)
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Exhibit
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Description of Exhibit
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99.1
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Tender Offer Letter Agreement, dated March 6, 2006, from ESL Investments, Inc. to AutoNation, Inc.
(incorporated by reference to Exhibit 2 to the Amendment to Schedule 13D filed on March 7, 2006).
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99.2
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Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.3
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Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., American Honda Motor Co., Inc. and ESL Investments, Inc. (on behalf of itself and its affiliates) (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.4
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Letter Agreement, dated as of January 28, 2009, by and between AutoNation, Inc. and ESL Investments, Inc. (on behalf of itself and its affiliates) (incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.5
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Amendment, dated November 23, 2009, to the Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed by AutoNation, Inc. with the Securities and Exchange Commission on November 23, 2009).
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99.6
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Letter Agreement, dated June 2, 2010, by and between ESL Partners, L.P. and William C. Crowley (incorporated by reference to Exhibit 8 to the Amendment to Schedule 13D filed on June 2, 2010).
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99.7
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Letter Agreement, dated June 2, 2010, by and between ESL Partners, L.P. and Edward S. Lampert (incorporated by reference to Exhibit 7 to the Amendment to Schedule 13D filed on June 2, 2010).
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99.8
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Second Extension Agreement, dated December 16, 2010, among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K filed by AutoNation, Inc. with the Securities and Exchange Commission on December 17, 2010).
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99.9
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Joint Filing Agreement (filed herewith).
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Date: June 5, 2012
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ESL PARTNERS, L.P. | ||
By: RBS Partners, L.P., as its general partner | |||
By: ESL Investments, Inc., as its general partner | |||
By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
ESL INVESTORS, L.L.C. | |||
By: RBS Partners, L.P., as its manager
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By: ESL Investments, Inc., as its general partner
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
RBS PARTNERS, L.P.
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By: ESL Investments, Inc., as its general partner
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
ESL INSTITUTIONAL PARTNERS, L.P.
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By: RBS Investment Management, L.L.C., as its general partner
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By: ESL Investments, Inc., as its manager
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
RBS INVESTMENT MANAGEMENT, L.L.C.
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By: ESL Investments, Inc., as its manager
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
CBL PARTNERS, L.P.
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By: ESL Investments, Inc., as its general partner
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
ESL INVESTMENTS, INC.
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By:
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/s/ Edward S. Lampert | ||
Name: | Edward S. Lampert | ||
Title: | Chief Executive Officer |
EDWARD S. LAMPERT
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By:
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/s/ Edward S. Lampert |
Exhibit
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Description of Exhibit
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99.1
|
Tender Offer Letter Agreement, dated March 6, 2006, from ESL Investments, Inc. to AutoNation, Inc.
(incorporated by reference to Exhibit 2 to the Amendment to Schedule 13D filed on March 7, 2006).
|
99.2
|
Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.3
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Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., American Honda Motor Co., Inc. and ESL Investments, Inc. (on behalf of itself and its affiliates) (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.4
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Letter Agreement, dated as of January 28, 2009, by and between AutoNation, Inc. and ESL Investments, Inc. (on behalf of itself and its affiliates) (incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K filed by AutoNation Inc. with the Securities and Exchange Commission on January 29, 2009).
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99.5
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Amendment, dated November 23, 2009, to the Letter Agreement, dated as of January 28, 2009, by and among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed by AutoNation, Inc. with the Securities and Exchange Commission on November 23, 2009).
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99.6
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Letter Agreement, dated June 2, 2010, by and between ESL Partners, L.P. and William C. Crowley (incorporated by reference to Exhibit 8 to the Amendment to Schedule 13D filed on June 2, 2010).
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99.7
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Letter Agreement, dated June 2, 2010, by and between ESL Partners, L.P. and Edward S. Lampert (incorporated by reference to Exhibit 7 to the Amendment to Schedule 13D filed on June 2, 2010).
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99.8 | Second Extension Agreement, dated December 16, 2010, among AutoNation, Inc., Toyota Motor Sales, U.S.A., Inc. and ESL Investments, Inc. and certain investment affiliates of ESL Investments, Inc. (incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K filed by AutoNation, Inc. with the Securities and Exchange Commission on December 17, 2010). |
99.9
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Joint Filing Agreement (filed herewith).
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Name and Business Address
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Principal Occupation
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Citizenship
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||
Edward S. Lampert
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Director, Chairman and Chief Executive Officer
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United States
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