SEC Form 4 · accession 0001140361-15-010796
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert L Klemann II
Officer — EVP, General Consl. & Secrty.
Period of report
Mar 5, 2015
Accepted (ET)
Mar 6, 2015 · 5:48 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,F2 | Mar 5, 2015 | A | 5,719 | — | A | 30,226 | D | |
| Common StockF2 | Mar 5, 2015 | F | 2,116 | — | D | 28,110 | D | |
| Common StockF3,F2 | Mar 5, 2015 | A | 942 | — | A | 29,052 | D | |
| Common StockF2 | Mar 5, 2015 | F | 349 | — | D | 28,703 | D |
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 fulfillment of all or partial pre-tax earnings target.
- F2Not Applicable
- F3Restricted stock units that have vested and are settled in common stock. Each restricted stock award vests over a 3 year period in 3 equal annual increments.