0001127602-19-010324.txt : 20190306 0001127602-19-010324.hdr.sgml : 20190306 20190306173721 ACCESSION NUMBER: 0001127602-19-010324 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190305 FILED AS OF DATE: 20190306 DATE AS OF CHANGE: 20190306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith, Jr. Thomas S. CENTRAL INDEX KEY: 0001601765 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09750 FILM NUMBER: 19663586 MAIL ADDRESS: STREET 1: 2 PENN PLAZA CITY: NEW YORK STATE: NY ZIP: 10121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOTHEBYS CENTRAL INDEX KEY: 0000823094 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 382478409 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1334 YORK AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212-606-7000 MAIL ADDRESS: STREET 1: 1334 YORK AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 FORMER COMPANY: FORMER CONFORMED NAME: SOTHEBYS HOLDINGS INC DATE OF NAME CHANGE: 19920703 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-03-05 0000823094 SOTHEBYS BID 0001601765 Smith, Jr. Thomas S. 1334 YORK AVE NEW YORK NY 10021 1 1 President and CEO Common Stock 2019-03-05 4 A 0 96178 A 231153 D Common Stock 2019-03-05 4 F 0 47099 40.00 D 184054 D Common Stock 11130 I By wife as UTMA custodian for son Common Stock 5610 I By wife as UTMA custodian for daughter Performance share units that have vested and are settled in common stock as a result of the achievement of all or partial financial target. /s/ David G. Schwartz as Attorney-In-Fact 2019-03-06