SEC Form 4/A · accession 0001127602-18-032720
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
Jr. Thomas S. Smith
Officer — President and CEO · Director
Period of report
Mar 31, 2018
Accepted (ET)
Nov 13, 2018 · 9:42 am EST
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 | 141,855 | D | |
| Common Stock | Mar 31, 2018 | F | 7,370 | $51.33 | D | 134,485 | D | |
| Common Stock | holding | — | — | — | 11,620 | I | By wife as UTMA custodian for son | |
| Common Stock | holding | — | — | — | 5,610 | I | By wife as UTMA custodian for daughter |
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.
Remarks
This amendment is being filed to reflect that an aggregate of 17,230 shares previously reported as directly owned by the Reporting Person are actually directly held by the Reporting Person's wife as custodian for his minor children in Uniform Transfers to Minors Act accounts.