Sotheby's Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-03-08: Reporting owner SHERIDAN WILLIAM S; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-03-07: Reporting owner Vinciguerra Bruno; Form 4; Security Employee Stock Option-Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-03-03: Reporting owner SHERIDAN WILLIAM S; Form 4/A; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-03-08 | 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 | −1,000 52,500 owned after | $22.11 exercise price | 2011-03-10 | |
| 2011-03-07 | Vinciguerra Bruno Officer (EVP & COO) | 4 | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,250 33,750 owned after | $22.11 exercise price | 2011-03-08 | |
| 2011-03-03 | SHERIDAN WILLIAM S Officer (EVP & CFO) | 4/A | Employee Stock Option-Right to Buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,500 49,500 owned after | $22.11 exercise price | 2011-03-07 |