SEC Form 4 · accession 0001127602-18-013278
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jr. Thomas S. Smith
Officer — President and CEO · Director
Period of report
Mar 31, 2018
Accepted (ET)
Apr 2, 2018 · 4:17 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 31, 2018 | M | 15,828 | — | A | 159,085 | D | |
| Common Stock | Mar 31, 2018 | F | 7,370 | $51.33 | D | 151,715 | 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 31, 2018 | M | 15,828 | D | — | — | Common Stock | 15,828 | 31,657 | 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 a three year period in three equal annual increments.