SEC Form 4 · accession 0001127602-18-019509
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Goodman
Officer — EVP, Digital Dev & Marketing
Period of report
Jun 1, 2018
Accepted (ET)
Jun 1, 2018 · 2:50 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 | Jun 1, 2018 | M | 3,346 | — | A | 9,235 | D | |
| Common StockF1 | Jun 1, 2018 | F | 1,279 | $54.82 | D | 7,956 | 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 | — | Jun 1, 2018 | M | 3,346 | D | — | — | Common Stock | 3,346 | 14,410 | D |
Explanation of responses
- F1Restricted stock units that have vested and converted into common stock on a one-for-one basic. Restricted stock unit vests over a three year period in three equal annual increments.