SEC Form 4 · accession 0001127602-17-030676
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Valentino Carlotti
Officer — EVP, Global Head of Bus. Dev.
Period of report
Oct 30, 2017
Accepted (ET)
Nov 1, 2017 · 10:51 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000823094
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Oct 30, 2017 | A | 13,662 | A | — | — | Common Stock | 13,662 | 13,662 | D |
Explanation of responses
- F1Restricted Stock units convert into common stock on a one-for-one basis. The units vest on the first anniversary of the grant date.