SEC Form 4/A · accession 0001127602-16-059034
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kevin M Delaney
Officer — SVP, Corporate Controller & CA
Period of report
Mar 5, 2015
Accepted (ET)
Aug 1, 2016 · 3:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000823094
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 5, 2015 | M | 280 | — | A | 1,592 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Mar 5, 2015 | M | 280 | D | — | — | Common Stock | 280 | 1,657 | D |
Explanation of responses
- F1Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over three years in equal annual installments.
Remarks
This amendment is being filed to report the disposition of restricted stock units upon vesting, as only the acquisition of common stock upon such vesting was reported in the original filing. In addition, the Transaction Code for the acquisition of the common stock is being corrected in this filing, to change it from an "A" to an "M".