SMITH DAVID BRUTON

SEC source: 0001209191-22-022283 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,886

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-22-017549 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475,523

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-22-008848 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,649

F1 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2022. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2023, thirty percent (30%) of the shares vesting on February 9, 2024, and forty-five percent (45%) of the shares vesting on February 9, 2025.

SEC source: 0001209191-21-026697 · doc4.xml · derivative · entry 9

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,802

Underlying: Class A Common Stock · 119,490 shares

Expires 2030-04-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F5 · derivative.exercise_date: The date indicated is the grant date, and the options vest in three equal installments on the anniversary of the grant date, subject to continued employment requirements and compliance with certain restrictive covenants.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 6

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,389

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F4 · price: This transaction was executed in multiple trades at prices ranging from $49.00 per share to $50.22 per share. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 5

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,879

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

SEC source: 0001209191-21-026697 · doc4.xml · derivative · entry 8

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,292

Underlying: Class A Common Stock · 13,029 shares

Expires 2030-04-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F5 · derivative.exercise_date: The date indicated is the grant date, and the options vest in three equal installments on the anniversary of the grant date, subject to continued employment requirements and compliance with certain restrictive covenants.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 4

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,389

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F3 · price: This transaction was executed in multiple trades at prices ranging from $49.00 per share to $49.62 per share. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 3

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,418

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

SEC source: 0001209191-21-026697 · doc4.xml · derivative · entry 7

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,321

Underlying: Class A Common Stock · 19,882 shares

Expires 2030-04-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F5 · derivative.exercise_date: The date indicated is the grant date, and the options vest in three equal installments on the anniversary of the grant date, subject to continued employment requirements and compliance with certain restrictive covenants.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 2

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,389

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

F2 · price: This transaction was executed in multiple trades at prices ranging from $49.36 per share to $50.07 per share. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-026697 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,271

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Employee stock options exercised and underlying shares sold pursuant to pre-established 10b5-1 Trading Plan.

SEC source: 0001209191-21-018931 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,389

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-21-014268 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,296

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-21-010079 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,753

F1 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2021. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2022, thirty percent (30%) of the shares vesting on February 10, 2023, and forty-five percent (45%) of the shares vesting on February 10, 2024.

SEC source: 0001209191-20-047761 · doc4.xml · nonDerivative · entry 2

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,866

SEC source: 0001209191-20-047761 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,865

F1 · price: This transaction was executed in multiple trades at prices ranging from $45.00 per share to $45.22 per share. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-20-024378 · doc4.xml · derivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 457,203

Underlying: Class A Common Stock · 457,203 shares

Expires 2030-04-10

F1 · derivative.exercise_date: Options vest in equal annual installments over a three year period, with one-third (1/3) of the options vesting on each of April 10, 2021, April 10, 2022 and April 10, 2023, subject to continued employment requirements and compliance with certain restrictive covenants.

SEC source: 0001209191-20-012461 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,527

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-20-010056 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,125

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-20-009506 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,297

F1 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2020. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2021, thirty percent (30%) of the shares vesting on February 12, 2022, and forty-five percent (45%) of the shares vesting on February 12, 2023.

F2 · balance_after: The amount of shares of Class A Common Stock beneficially owned following the reported transaction has been decreased by 235 shares to correct a previous clerical error.

SEC source: 0001209191-20-024374 · doc4a.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,581

F1 · kind: Subsequent to the filing of the initial Form 4 by the Reporting Person on February 14, 2020, but prior to the finalization of the grant and issuance of the restricted stock units reported on such Form 4, the grant was rescinded by the Compensation Committee of Sonic Automotive, Inc., pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan, and, as a result, such grant of restricted stock units did not occur.

SEC source: 0001209191-19-018401 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,816

F1 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2019. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2020, thirty percent (30%) of the shares vesting on March 8, 2021, and forty-five percent (45%) of the shares vesting on March 8, 2022.

SEC source: 0001209191-19-012464 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,741

F1 · shares: Represents the forfeiture of restricted stock units granted pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan on February 20, 2019 based on the achievement of performance criteria for fiscal year 2018.

SEC source: 0001209191-18-052883 · doc4.xml · derivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by SFC

Disclosed balance after: 9,858,125

Underlying: Class A Common Stock · 976,875 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of Sonic Automotive, Inc.'s Class B Common Stock are convertible into shares of Sonic Automotive, Inc.'s Class A Common Stock on a 1-for-1 basis at the option of the reporting person and there is no expiration date. No conversion of the Class B Common Stock is occurring as a result of the reported transaction.

F2 · shares: The reported securities were purchased in a private, non-market transaction and are held by Sonic Financial Corporation ("SFC"), a North Carolina corporation of which the reporting person is a shareholder and an officer.

F3 · price: Based solely on the average of the closing price of Sonic Automotive, Inc.'s Class A Common Stock for the 30-day trading period ended September 21, 2018, as reported by the New York Stock Exchange.

F1 · derivative.exercise_date: Shares of Sonic Automotive, Inc.'s Class B Common Stock are convertible into shares of Sonic Automotive, Inc.'s Class A Common Stock on a 1-for-1 basis at the option of the reporting person and there is no expiration date. No conversion of the Class B Common Stock is occurring as a result of the reported transaction.

F1 · derivative.expiration_date: Shares of Sonic Automotive, Inc.'s Class B Common Stock are convertible into shares of Sonic Automotive, Inc.'s Class A Common Stock on a 1-for-1 basis at the option of the reporting person and there is no expiration date. No conversion of the Class B Common Stock is occurring as a result of the reported transaction.

F4 · balance_after: Represents the entire amount of Sonic Automotive, Inc.'s Class B Common Stock held by SFC. The reporting person disclaims beneficial ownership of Sonic Automotive, Inc.'s Class B Common Stock held by SFC, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-014065 · doc4.xml · nonDerivative · entry 2

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,360

F3 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2018. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2019, thirty percent (30%) of the shares vesting on February 23, 2020, and forty-five percent (45%) of the shares vesting on February 23, 2021.

SEC source: 0001209191-18-014065 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,835

F1 · shares: Represents the forfeiture of restricted stock units granted pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan on February 13, 2017 based on the achievement of performance criteria for fiscal year 2017.

F2 · balance_after: Includes 17,421 shares previously held through SMDA Development 1, LLC, representing the reporting person's proportionate ownership interest in the limited liability company, which were distributed to the reporting person on November 2, 2017 and are now owned directly.

SEC source: 0001209191-17-024714 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,700

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-17-013368 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,255

F1 · shares: Represents the forfeiture of restricted stock units granted pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan on February 16, 2016 based on the achievement of performance criteria for fiscal year 2016.

SEC source: 0001209191-17-010902 · doc4.xml · nonDerivative · entry 5

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,277

F3 · shares: Represents shares of Class A Common Stock issuable upon conversion of restricted stock units granted by the Compensation Committee of Sonic Automotive, Inc. pursuant to the Sonic Automotive, Inc. 2012 Stock Incentive Plan. The restricted stock units may only be settled in shares of Class A Common Stock and are subject to forfeiture based on the satisfaction of performance criteria for fiscal year 2017. If the performance criteria are met, this award will vest in three annual installments, with twenty-five percent (25%) of the shares vesting on March 31, 2018, thirty percent (30%) of the shares vesting on February 13, 2019 and forty-five percent (45%) of the shares vesting on February 13, 2020.

SEC source: 0001209191-17-010902 · doc4.xml · nonDerivative · entry 3

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,356

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.

SEC source: 0001209191-17-010902 · doc4.xml · nonDerivative · entry 1

SMITH DAVID BRUTON · CIK 0001448501 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,493

F1 · shares: Represents shares delivered by the reporting person to Sonic Automotive, Inc. to satisfy withholding tax obligations due upon vesting of restricted stock units.