SEC Form 4 · accession 0001127602-19-010324
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jr. Thomas S. Smith
Officer — President and CEO · Director
Period of report
Mar 5, 2019
Accepted (ET)
Mar 6, 2019 · 5:37 pm 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 5, 2019 | A | 96,178 | — | A | 231,153 | D | |
| Common Stock | Mar 5, 2019 | F | 47,099 | $40.00 | D | 184,054 | D | |
| Common Stock | holding | — | — | — | 11,130 | 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
No Table II lines on this filing.
Explanation of responses
- F1Performance share units that have vested and are settled in common stock as a result of the achievement of all or partial financial target.