SEC Form 4 · accession 0001127602-16-061755
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Nadler
Officer — SVP, Worldwide Head of HR
Period of report
Sep 1, 2016
Accepted (ET)
Sep 2, 2016 · 11:35 am 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 | Sep 1, 2016 | M | 2,367 | — | A | 2,367 | D | |
| Common Stock | Sep 1, 2016 | F | 876 | $39.65 | D | 1,491 | 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 | — | Sep 1, 2016 | M | 2,367 | D | — | — | Common Stock | 2,367 | 4,734 | 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.