0001127602-16-059035.txt : 20160801
0001127602-16-059035.hdr.sgml : 20160801
20160801152021
ACCESSION NUMBER: 0001127602-16-059035
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160209
FILED AS OF DATE: 20160801
DATE AS OF CHANGE: 20160801
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOTHEBYS
CENTRAL INDEX KEY: 0000823094
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 382478409
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1334 YORK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10021
BUSINESS PHONE: 212-606-7000
MAIL ADDRESS:
STREET 1: 1334 YORK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10021
FORMER COMPANY:
FORMER CONFORMED NAME: SOTHEBYS HOLDINGS INC
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DELANEY KEVIN M
CENTRAL INDEX KEY: 0001398794
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09750
FILM NUMBER: 161797065
MAIL ADDRESS:
STREET 1: SOTHEBY'S
STREET 2: 1334 YORK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10021
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-02-09
0000823094
SOTHEBYS
BID
0001398794
DELANEY KEVIN M
1334 YORK AVENUE
NEW YORK
NY
10021
1
SVP, Corporate Controller & CA
Common Stock
2016-03-05
4
M
0
646
A
646
D
Common Stock
2016-03-05
4
A
0
1251
A
1897
D
Common Stock
2016-03-05
4
F
0
697
25.81
D
1200
D
Common Stock
2016-07-28
4
S
0
658
33.40
D
542
D
Restricted Stock Units
2016-02-09
4
A
0
2978
A
Common Stock
2978
4635
D
Restricted Stock Units
2016-03-05
4
M
0
646
D
Common Stock
646
3989
D
Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over three years in equal annual installments.
Performance stock units that have vested and are settled in common stock as a result of the achievement of all or partial financial target.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 7, 2016.
Restricted stock units convert into common stock on a one-for-one basis. Restricted stock units vest over three years in equal annual installments beginning with the first anniversary of the grant date.
/s/ Kevin Delaney
2016-08-01