0001127602-18-013278.txt : 20180402 0001127602-18-013278.hdr.sgml : 20180402 20180402161749 ACCESSION NUMBER: 0001127602-18-013278 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180402 DATE AS OF CHANGE: 20180402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith, Jr. Thomas S. CENTRAL INDEX KEY: 0001601765 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09750 FILM NUMBER: 18729108 MAIL ADDRESS: STREET 1: 2 PENN PLAZA CITY: NEW YORK STATE: NY ZIP: 10121 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-03-31 0000823094 SOTHEBYS BID 0001601765 Smith, Jr. Thomas S. 1334 YORK AVE NEW YORK NY 10021 1 1 President and CEO Common Stock 2018-03-31 4 M 0 15828 A 159085 D Common Stock 2018-03-31 4 F 0 7370 51.33 D 151715 D Restricted Stock Units 2018-03-31 4 M 0 15828 D Common Stock 15828 31657 D Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. /s/ David G. Schwartz as Attorney-In-Fact 2018-04-02