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