0001140361-15-020943.txt : 20150519 0001140361-15-020943.hdr.sgml : 20150519 20150519174604 ACCESSION NUMBER: 0001140361-15-020943 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150515 FILED AS OF DATE: 20150519 DATE AS OF CHANGE: 20150519 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: 1004 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: Devonshire Duke of CENTRAL INDEX KEY: 0001251399 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09750 FILM NUMBER: 15877579 MAIL ADDRESS: STREET 1: 1334 YORK AVE CITY: NEW YORK STATE: NY ZIP: 10021 FORMER NAME: FORMER CONFORMED NAME: HARTINGTON LORD DATE OF NAME CHANGE: 20030701 4 1 doc1.xml FORM 4 X0306 4 2015-05-15 0 0000823094 SOTHEBYS BID 0001251399 Devonshire Duke of 1334 YORK AVENUE NEW YORK NY 10021 1 0 0 0 Deferred Stock Units 2015-05-15 4 A 0 455 A Common Stock 455 35713 D Dividend Equivalent Rights 2015-05-15 4 A 0 109.21 A Common Stock 109.21 6791.33 D Deferred Stock Units 2015-05-15 4 A 0 417 A Common Stock 417 36130 D Dividend Equivalent Rights 2015-05-15 4 A 0 105.90 A Common Stock 105.90 6897.23 D Deferred Stock Units 2015-05-15 4 A 0 420 A Common Stock 420 36550 D One for One Share catch-up issuance for Deferred Stock Units that would have been issued on November 15, 2014 but for a reserved share shortfall now eliminated by shareholder approval of additional Plan shares. The deferred stock units were accrued under the Sotheby's 1998 Stock Compensation Plan for Non-Employee Directors (as amended and restated, the "Plan") as a result of a partial or full deferral election with respect to stock compensation paid under the Plan. These units will be settled 100% in Sotheby's Common Stock (except that fractional shares, if any, will be settled in cash) after the reporting person's termination of service on the Sotheby's Board. Not Applicable The Dividend Equivalent Rights have accrued under the Sotheby's 1998 Stock Compensation Plan for Non-Employee Directors (as amended and restated, the "Plan") with respect to Deferred Stock Units received by the reporting person under the Plan. The Deferred Stock Units and the Dividend Equivalent Rights will be settled 100% in Sotheby's Common Stock (except that fractional shares, if any, will be settled in cash) after the reporting person's termination of service on the Sotheby's Board. Share catch-up issuance for Dividend Equivalent Rights that would have been issued on December 15, 2014 (issuer dividend payment date) but for a reserved share shortfall now eliminated by shareholder approval of additional Plan shares. Share catch-up issuance for Deferred Stock Units that would have been issued on February 15, 2015 but for a reserved share shortfall now eliminated by shareholder approval of additional Plan shares. Share catch-up issuance for Dividend Equivalent Rights that would have been issued on March 15, 2015 (issuer dividend payment date) but for a reserved share shortfall now eliminated by shareholder approval of additional Plan shares. /s/ Jonathan Olsoff as Attorney-In-Fact 2015-05-19