Sotheby's Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-10-03: Reporting owner GOSS MICHAEL F; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-10-03: Reporting owner Wilson Harry James; Form 4; Security Deferred Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-10-03: Reporting owner Wolf Michael J; Form 4; Security Deferred Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-10-03: Reporting owner WEIBLING DENNIS M; Form 4; Security Deferred Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-10-03 | GOSS MICHAEL F Officer (EVP, Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,959 26,342 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,205 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Wolf Michael J Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,380 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,060 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −29,976 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −19,055 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −53,744 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,526 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,205 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | Cheung Linus W. L. Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,691 0 owned after | $57.00 | 2019-10-04 | |
| 2019-10-03 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,205 0 owned after | $57.00 | 2019-10-04 | |
| 2019-08-15 | WEIBLING DENNIS M Director | 4/A | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 30,060 owned after | $58.24 | 2019-10-01 | |
| 2019-08-15 | Wolf Michael J Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 1,380 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 12,205 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 29,976 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 19,055 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 53,744 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 29,665 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,073 33,216 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 12,205 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | Cheung Linus W. L. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 6,691 owned after | $58.24 | 2019-08-15 | |
| 2019-08-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +536 12,205 owned after | $58.24 | 2019-08-15 | |
| 2019-05-15 | Wolf Michael J Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 844 owned after | $37.00 | 2019-05-16 | |
| 2019-05-15 | Cheung Linus W. L. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 6,155 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 53,208 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 11,669 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 29,524 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 29,440 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 18,519 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,689 30,453 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 11,669 owned after | $37.00 | 2019-05-15 | |
| 2019-05-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +844 11,669 owned after | $37.00 | 2019-05-15 | |
| 2019-03-31 | Smith, Jr. Thomas S. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,828 15,829 owned after | no price filed | 2019-04-01 | |
| 2019-03-05 | Olsoff Jonathan Officer (EVP, Worldwide General Counsel) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,906 10,981 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | GOSS MICHAEL F Officer (EVP, Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,657 54,301 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Levine Jane Officer (EVP, Chief Compliance Counsel) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,148 6,553 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Goodman David Officer (EVP, Digital Dev & Marketing) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,860 17,870 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | DELANEY KEVIN M Officer (SVP, Corp. Controller & CAO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,087 3,337 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Carlotti Valentino Officer (EVP, Global Head of Bus. Dev.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,690 14,700 owned after | no price filed | 2019-03-06 | |
| 2019-03-05 | Bright Jill Officer (EVP of HR and Administration) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −717 3,921 owned after | no price filed | 2019-03-06 | |
| 2019-02-26 | GOSS MICHAEL F Officer (EVP, Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,959 70,958 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Olsoff Jonathan Officer (EVP, Worldwide General Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,281 14,887 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Levine Jane Officer (EVP, Chief Compliance Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,417 8,701 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Goodman David Officer (EVP, Digital Dev & Marketing) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,320 23,730 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | DELANEY KEVIN M Officer (SVP, Corp. Controller & CAO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,740 5,424 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Citron Kenneth Officer (EVP, Operations and CTO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,213 6,213 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Cahill John Officer (EVP, Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,903 5,903 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Carlotti Valentino Officer (EVP, Global Head of Bus. Dev.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,320 17,390 owned after | no price filed | 2019-02-28 | |
| 2019-02-26 | Bright Jill Officer (EVP of HR and Administration) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,486 4,638 owned after | no price filed | 2019-02-28 | |
| 2019-02-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,548 28,764 owned after | $40.37 | 2019-02-22 | |
| 2019-02-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 10,825 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 28,680 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 28,596 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 17,675 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 52,364 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 10,825 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | Cheung Linus W. L. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 5,311 owned after | $40.37 | 2019-02-19 | |
| 2019-02-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 10,825 owned after | $40.37 | 2019-02-19 |