Sotheby's Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-08-20: 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.
- 2012-03-14: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-08-20 | 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 22,500 owned after | $22.11 exercise price | 2012-08-21 | |
| 2012-03-14 | 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 | −17,500 35,000 owned after | $22.11 exercise price | 2012-03-15 |