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: 53 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-15: Reporting owner WEIBLING DENNIS M; Form 4/A; Security Deferred Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-11-15: Reporting owner Simms Marsha; Form 4; Security Deferred Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-11-15: Reporting owner WEIBLING DENNIS M; Form 4; Security Deferred Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-11-15: Reporting owner Wilson Harry James; Form 4; Security Deferred Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-15 | WEIBLING DENNIS M Director | 4/A | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 25,497 owned after | $45.66 | 2018-02-20 | |
| 2017-11-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 14,492 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 25,907 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 7,642 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 25,413 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | Reza Olivier Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 7,642 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,368 21,870 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 49,181 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | Cheung Linus W. L. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 2,128 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 7,642 owned after | $45.66 | 2017-11-16 | |
| 2017-11-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +410 7,642 owned after | $45.66 | 2017-11-16 | |
| 2017-10-30 | 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) | +13,662 13,662 owned after | no price filed | 2017-11-01 | |
| 2017-08-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 7,232 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | Reza Olivier Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 7,232 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | Cheung Linus W.L. Cheung Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 1,718 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 7,232 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 7,232 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 25,003 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,306 20,502 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 48,771 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 25,087 owned after | $47.85 | 2017-08-17 | |
| 2017-08-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 14,082 owned after | $47.85 | 2017-08-17 | |
| 2017-06-01 | 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 | −3,346 12,855 owned after | no price filed | 2017-06-01 | |
| 2017-05-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 6,841 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 24,696 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 24,612 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 13,691 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | Reza Olivier Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 6,841 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 48,380 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,263 19,196 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 6,841 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | Cheung Linus W.L. Cheung Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 1,327 owned after | $49.45 | 2017-05-16 | |
| 2017-05-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +379 6,841 owned after | $49.45 | 2017-05-16 | |
| 2017-03-05 | 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 | −1,027 6,917 owned after | no price filed | 2017-03-07 | |
| 2017-03-05 | 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 | −550 3,785 owned after | no price filed | 2017-03-07 | |
| 2017-03-05 | 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 | −1,638 4,126 owned after | no price filed | 2017-03-07 | |
| 2017-02-15 | TAYLOR DIANA L Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 24,233 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | BIBLIOWICZ JESSICA M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 6,462 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Wilson Harry James Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 6,462 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | WEIBLING DENNIS M Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 24,317 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Simms Marsha Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 13,312 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Reza Olivier Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 6,462 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Devonshire Duke of Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 48,001 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | DE SOLE DOMENICO Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,510 17,933 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Conroy Kevin C. Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 6,462 owned after | $41.38 | 2017-02-16 | |
| 2017-02-15 | Cheung Linus W.L. Cheung Director | 4 | Deferred Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +453 948 owned after | $41.38 | 2017-02-16 | |
| 2017-02-07 | 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) | +9,509 16,201 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | 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) | +20,919 20,919 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | Nadler Lisa Officer (EVP, WW Chief HR Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,311 9,045 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | 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) | +3,487 4,335 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | 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) | +1,775 5,764 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | CHINN ADAM Officer (EVP, Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,509 9,509 owned after | no price filed | 2017-02-09 | |
| 2017-02-07 | Olsoff Jonathan Officer (SVP, General Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,339 7,944 owned after | no price filed | 2017-02-09 |