Sotheby's Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 1999. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 1999-11-21: Reporting owner Devonshire Duke of; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 1999-11-21: Reporting owner BLAKENHAM MICHAEL; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 1999-08-13: Reporting owner Devonshire Duke of; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 1999-08-13: Reporting owner BLAKENHAM MICHAEL; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 1999-11-21 | Devonshire Duke of Director, Officer (Deputy Chairman) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10 39 owned after | no price filed | 2006-09-19 | |
| 1999-11-21 | BLAKENHAM MICHAEL Director | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10 39 owned after | no price filed | 2006-09-19 | |
| 1999-08-13 | Devonshire Duke of Director, Officer (Deputy Chairman) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9 29 owned after | no price filed | 2006-09-19 | |
| 1999-08-13 | BLAKENHAM MICHAEL Director | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9 29 owned after | no price filed | 2006-09-19 | |
| 1999-05-14 | Devonshire Duke of Director, Officer (Deputy Chairman) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 20 owned after | no price filed | 2006-09-19 | |
| 1999-05-14 | BLAKENHAM MICHAEL Director | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 20 owned after | no price filed | 2006-09-19 | |
| 1999-03-12 | Devonshire Duke of Director, Officer (Deputy Chairman) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 14 owned after | no price filed | 2006-09-19 | |
| 1999-03-12 | BLAKENHAM MICHAEL Director | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 14 owned after | no price filed | 2006-09-19 |