Sotheby's Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2008. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-05-15: Reporting owner BUCKLEY RICHARD; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2008-02-27: 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.
- 2008-02-21: 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.
- 2008-02-15: 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 |
|---|---|---|---|---|---|---|---|---|
| 2008-05-15 | BUCKLEY RICHARD Other (EVP, Global Client Development) | 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 | $8.65 exercise price | 2008-05-16 | |
| 2008-02-27 | 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 | −667 86,667 owned after | $18.88 exercise price | 2008-02-28 | |
| 2008-02-21 | 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 | −666 87,334 owned after | $18.88 exercise price | 2008-02-22 | |
| 2008-02-15 | 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 | −2,667 88,000 owned after | $18.88 exercise price | 2008-02-19 | |
| 2008-02-13 | 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 | −467 90,667 owned after | $18.88 exercise price | 2008-02-14 | |
| 2008-01-17 | 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 | −200 91,134 owned after | $18.88 exercise price | 2008-01-18 | |
| 2008-01-15 | 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 | −2,000 91,334 owned after | $18.88 exercise price | 2008-01-16 |