SEC Form 4 · accession 0001140361-15-013086
SOTHEBYS · BID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Ching
Officer — CEO, Asia
Period of report
Feb 11, 2014
Accepted (ET)
Mar 24, 2015 · 6:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000823094
Table I — non-derivative securities
No Table I lines on this filing.
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,F4,F2,F3 | — | Feb 11, 2014 | A | 5,088 | A | — | — | Common Stock | 5,088 | 5,088 | D |
| Restricted Stock UnitsF1,F4,F2,F3 | — | Feb 26, 2015 | A | 8,425 | A | — | — | Common Stock | 8,425 | 13,513 | D |
Explanation of responses
- F1Granted pursuant to the Issuer's Restricted Stock Unit Plan.
- F2Each Restricted Stock Unit is a contingent right to receive one share of the Issuer's Common Stock
- F3Each Restricted Stock Unit grant vest one-third (33%) in March of each year following the first, second, and third anniversaries of the grant based on continued service.
- F4Not Applicable