Sotheby's Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 66 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-12-21: Reporting owner RUPRECHT WILLIAM F; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-12-18: Reporting owner RUPRECHT WILLIAM F; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-12-17: Reporting owner RUPRECHT WILLIAM F; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-12-06: Reporting owner RUPRECHT WILLIAM F; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-12-21 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 93,334 owned after | $18.88 exercise price | 2007-12-21 | |
| 2007-12-18 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 94,667 owned after | $18.88 exercise price | 2007-12-19 | |
| 2007-12-17 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,667 96,000 owned after | $18.88 exercise price | 2007-12-19 | |
| 2007-12-06 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 100,667 owned after | $18.88 exercise price | 2007-12-07 | |
| 2007-11-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 102,000 owned after | $18.88 exercise price | 2007-11-16 | |
| 2007-10-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 108,000 owned after | $18.88 exercise price | 2007-10-16 | |
| 2007-10-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,000 112,000 owned after | $18.88 exercise price | 2007-10-16 | |
| 2007-10-11 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 140,000 owned after | $18.88 exercise price | 2007-10-12 | |
| 2007-10-10 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 144,000 owned after | $18.88 exercise price | 2007-10-12 | |
| 2007-10-10 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $11.24 exercise price | 2007-10-11 | |
| 2007-10-09 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 150,000 owned after | $18.88 exercise price | 2007-10-09 | |
| 2007-10-09 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $8.65 exercise price | 2007-10-09 | |
| 2007-10-05 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 152,000 owned after | $18.88 exercise price | 2007-10-09 | |
| 2007-10-05 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $11.24 exercise price | 2007-10-09 | |
| 2007-10-03 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 154,000 owned after | $18.88 exercise price | 2007-10-04 | |
| 2007-10-02 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 156,000 owned after | $18.88 exercise price | 2007-10-04 | |
| 2007-09-26 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 162,000 owned after | $18.88 exercise price | 2007-09-28 | |
| 2007-09-19 | BAILEY GEORGE Other (Mang. Dir. Sotheby's Europe) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −300 0 owned after | $8.65 exercise price | 2007-09-20 | |
| 2007-09-19 | BAILEY GEORGE Other (Mang. Dir. Sotheby's Europe) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,450 300 owned after | $8.65 exercise price | 2007-09-20 | |
| 2007-09-19 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 164,000 owned after | $18.88 exercise price | 2007-09-19 | |
| 2007-09-18 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 170,000 owned after | $18.88 exercise price | 2007-09-19 | |
| 2007-09-17 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,667 171,333 owned after | $18.88 exercise price | 2007-09-18 | |
| 2007-09-13 | SHERIDAN WILLIAM S Officer (EVP & CFO) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,250 0 owned after | $8.65 exercise price | 2007-09-14 | |
| 2007-09-06 | BAILEY GEORGE Other (Mang. Dir. Sotheby's Europe) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 15,750 owned after | $8.65 exercise price | 2007-09-07 | |
| 2007-08-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 180,000 owned after | $18.88 exercise price | 2007-08-16 | |
| 2007-08-15 | Ulmer David Officer (SVP Chief Tech & Strat Officer) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $19.75 exercise price | 2007-08-16 | |
| 2007-08-13 | ZUCKERMAN MITCHELL Other (President, Soth. Financl. Serv) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,100 0 owned after | $8.65 exercise price | 2007-08-13 | |
| 2007-08-10 | ZUCKERMAN MITCHELL Other (President, Soth. Financl. Serv) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,900 6,100 owned after | $8.65 exercise price | 2007-08-13 | |
| 2007-07-06 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,000 owned after | $11.24 exercise price | 2007-07-09 | |
| 2007-06-25 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,000 owned after | $11.24 exercise price | 2007-06-27 | |
| 2007-05-23 | WICKSTROM DARYL Officer (Mang. Dir. Global Auction Div.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $18.88 exercise price | 2007-05-24 | |
| 2007-05-23 | WICKSTROM DARYL Officer (Mang. Dir. Global Auction Div.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $19.75 exercise price | 2007-05-24 | |
| 2007-05-23 | WICKSTROM DARYL Officer (Mang. Dir. Global Auction Div.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 6,250 owned after | $8.65 exercise price | 2007-05-24 | |
| 2007-05-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 37,500 owned after | $8.65 exercise price | 2007-05-16 | |
| 2007-05-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 85,000 owned after | $15.51 exercise price | 2007-05-16 | |
| 2007-05-10 | BUCKLEY RICHARD Other (Mang. Dir. N. Amer. Region Div) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $8.65 exercise price | 2007-05-11 | |
| 2007-04-16 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,500 47,500 owned after | $8.65 exercise price | 2007-04-18 | |
| 2007-03-21 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 75,000 owned after | $8.65 exercise price | 2007-03-21 | |
| 2007-03-20 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 76,500 owned after | $8.65 exercise price | 2007-03-21 | |
| 2007-03-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 78,000 owned after | $8.65 exercise price | 2007-03-19 | |
| 2007-03-15 | BUCKLEY RICHARD Other (Mang. Dir. N. Amer. Region Div) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 20,000 owned after | $8.65 exercise price | 2007-03-19 | |
| 2007-03-15 | BUCKLEY RICHARD Other (Mang. Dir. N. Amer. Region Div) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,500 21,500 owned after | $8.65 exercise price | 2007-03-19 | |
| 2007-03-08 | Ulmer David Officer (SVP and Chief Tech Officer) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 0 owned after | $18.88 exercise price | 2007-03-09 | |
| 2007-03-05 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $11.24 exercise price | 2007-03-06 | |
| 2007-02-20 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4/A | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 100,000 owned after | $8.65 exercise price | 2007-03-19 | |
| 2007-02-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 101,500 owned after | $8.65 exercise price | 2007-02-16 | |
| 2007-02-15 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,800 103,200 owned after | $8.65 exercise price | 2007-02-16 | |
| 2007-02-09 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 125,000 owned after | $8.65 exercise price | 2007-02-13 | |
| 2007-02-08 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $8.65 exercise price | 2007-02-08 | |
| 2007-02-05 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 6,000 owned after | $11.24 exercise price | 2007-02-06 | |
| 2007-02-01 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 126,500 owned after | $8.65 exercise price | 2007-02-02 | |
| 2007-01-29 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $11.24 exercise price | 2007-01-30 | |
| 2007-01-29 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 18,000 owned after | $11.24 exercise price | 2007-01-30 | |
| 2007-01-23 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 128,000 owned after | $8.65 exercise price | 2007-01-23 | |
| 2007-01-22 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 129,500 owned after | $8.65 exercise price | 2007-01-23 | |
| 2007-01-22 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $8.65 exercise price | 2007-01-23 | |
| 2007-01-22 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 30,000 owned after | $11.24 exercise price | 2007-01-23 | |
| 2007-01-22 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 21,000 owned after | $11.24 exercise price | 2007-01-23 | |
| 2007-01-22 | GILLIS MIKE Officer (SVP, Controller, CAO) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $18.88 exercise price | 2007-01-23 | |
| 2007-01-22 | GILLIS MIKE Officer (SVP, Controller, CAO) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $19.75 exercise price | 2007-01-23 | |
| 2007-01-19 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 30,000 owned after | $8.65 exercise price | 2007-01-23 | |
| 2007-01-16 | RUPRECHT WILLIAM F Director, Officer (CEO & President) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,000 131,000 owned after | $8.65 exercise price | 2007-01-17 | |
| 2007-01-12 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 24,000 owned after | $11.24 exercise price | 2007-01-16 | |
| 2007-01-12 | Alexander Susan Officer (EVP & WW Head of HR) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 40,000 owned after | $11.24 exercise price | 2007-01-16 | |
| 2007-01-10 | WOODHEAD ROBIN Director, Officer (EVP & CEO Soth. International) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $8.65 exercise price | 2007-01-11 | |
| 2007-01-05 | PILLSBURY DONALDSON C Officer (EVP & General Consl. & Secrty.) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 27,000 owned after | $11.24 exercise price | 2007-01-08 |