-----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, FgFq2d8OKyMS1Wo4CjZaedalD5+sb8fzlhfu3eXm1mUjqvk0pK3ZOerTT6M238YG E3tduD2lvVKvjbZmuRSx7A== 0000950168-99-003121.txt : 19991210 0000950168-99-003121.hdr.sgml : 19991210 ACCESSION NUMBER: 0000950168-99-003121 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991119 FILED AS OF DATE: 19991209 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: 4 SEC ACT: SEC FILE NUMBER: 001-13395 FILM NUMBER: 99771211 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 BRYAN SCOTT CENTRAL INDEX KEY: 0001049982 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 5401 E INDEPENDENCE BLVD CITY: CHARLOTTE STATE: NC ZIP: 28212 BUSINESS PHONE: 7045323306 MAIL ADDRESS: STREET 1: 5401 E INDEPENDENCE BLVD CITY: CHARLOTTE STATE: NC ZIP: 28212 4 1 FORM 4 FOR BRYAN SCOTT SMITH
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL [ ] CHECK THIS BOX IF NO LONGER WASHINGTON, D.C. 20549 OMB NUMBER 3235-0287 SUBJECT TO SECTION 16. FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP EXPIRES:DECEMBER 31, 2001 OR FORM 5 OBLIGATIONS MAY ESTIMATED AVERAGE BURDEN CONTINUE. SEE INSTRUCTION 1(B). HOURS PER RESPONSE.....0.5 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 6. Relationship of Reporting Person(s) to Issuer Trading Symbol (Check all applicable) ___X__ Director ______10% Owner __X___ Officer _______ Other (give title below) (specify below) President & COO ----------------- Smith Bryan Scott Sonic Automotive, Inc. ("SAH") - ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS Identification 4. Statement for Number of Reporting Month/Year Person, if an entity 11/99 (Voluntary) c/o Sonic Automotive, Inc. 5401 East Independence Blvd. - ----------------------------------------------------------------------------------------------------------------------------- (Street) 5. If 7. Individual or Joint/Group Filing (Check Applicable Amendment, Line) Date of _X_ Form filed by One Reporting Person Original ___ Form filed by More than One Reporting Person Charlotte NC 28212 (Month/Year) - ------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I-- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 4. 5. 6. 7. - --------------------- -------- ---------- ------------------------------ ----------- ---------- ---------- Owner- Amount of ship Trans- Trans- Securities Acquired (A) Securities Form: action action or Disposed of (D) Beneficially Direct Nature of Date Code (Instr. 3, 4 and 5) Owned at (D) or Indirect Title of (Month/ (Instr. 8) ---------------------------- End of Indirect Beneficial Security Day/ ---------- Amount (A) or Price Month (I) Ownership (Instr. 3) Year) Code V (D) (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 11-19-99 X 20,000 A $12.50 20,000 D -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- Class A Common Stock 11-19-99 X 1,500 A $10.00 1,500 D -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- -------------------------- ------------------- ------ --------------- ---- --------- -------------- --------- ---------- 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED (Over) IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY SEC 1474 (3-99) VALID OMB CONTROL NUMBER
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. - ---------- -------- -------- -------- ---------- ------------ -------------- ------ ---------- --------- ---------- Title and Ownership Number of Date Exer- Amount of Form of Derivative cisable and Underlying Number of Deriv- Securities Expiration Securities Price Derivative ative Conver- Trans- Acquired (A) Date (Month/ (Instr. 3 of Securities Security: sion or Trans- action or Disposed Day/Year) and 4) Deriv- Benefi- Direct Exercise action Code of (D) -------------- -------------- ative cially (D) or Nature of Title of Price of Date (Instr. (Instr. 3, Date Amount Secur- Owned at Indirect Indirect Derivative Deriv- (Month/ 8) 4 and 5) Exer- Expir- or Num- ity End of (I) Beneficial Security ative Day/ -------- ---------- cis- ation ber of (Instr. Month (Instr. Ownership (Instr. 3) Security Year) Code V (A) (D) able Date Title Shares 5) (Instr. 4) 4) (Instr. 4) - ---------- -------- -------- ---- --- ---- ---- ------- ----- ----- ------ ------ ---------- -------- ---------- Class Put Options A Obligation) Common to buy) $12.50 11-19-99 X 200 8-5-99 11-20-99 Stock 20,000 -0- D - ------------------------------------------------------------------------------------------------------------------------------ Class Put Options A Obligation) Common to buy) $10.00 11-19-99 X 15 8-5-99 11-20-99 Stock 1,500 -0- D - ------------------------------------------------------------------------------------------------------------------------------ Class Put Options A Obligation) Common to buy) $10.00 11-20-99 E 85 8-5-99 11-20-99 Stock 8,500 -0- D - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: ** Intentional misstatements or omissions of /s/ Bryan Scott Smith 12/8/99 facts constitute Federal Criminal Violations. -------------------------------- ------------ SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) ** Signature of Reporting Person Date 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. Page 2
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