मूलभूत आँकड़े
| LEI | 549300P5BAAMQQ7VL735 |
| CIK | 823094 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sotheby's
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| December 5, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 4, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employe |
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| November 13, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 13, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employ |
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| November 13, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9750 (Ex |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9750 (Exac |
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| November 12, 2019 |
bid930201910qex101verb4b Execution Version CREDIT AGREEMENT Article I Definitions . |
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| November 12, 2019 |
bid930201910qex102 Exhibit 10.2 BIDFAIR MERGERIGHT INC., as Issuer, BIDFAIR HOLDINGS INC., as Parent Guarantor, and DEUTSCHE BANK TRUST COMPANY AMERICAS, as Trustee, Paying Agent, Transfer Agent, Registrar and Notes Collateral Agent INDENTURE Dated as of October 2, 2019 7.375% Senior Secured Notes due 2027 EU-DOCS\26039728.6 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFEREN |
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| October 28, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 28, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employe |
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| October 28, 2019 |
Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] SOTHEBY’S NAMES CHARLES F. STEWART CHIEF EXECUTIVE OFFICER NEW YORK, 28 October 2019 - Sotheby’s today announced the appointment o |
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| October 15, 2019 |
BID / Sotheby's 15-12B - - 15-12B 15-12B 1 bidform15.htm 15-12B OMB APPROVAL OMB Number: 3235-0167 UNITED STATES Expires: May 31, 2021 SECURITIES AND EXCHANGE COMMISSION Estimated average burden Washington, D.C. 20549 hours per response..... 1.50 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d |
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| October 4, 2019 |
BID / Sotheby's S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on October 4, 2019. Registration No. 333-188941 Registration No. 333-204084 Registration No. 333-229993 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO Form S-8 Registration Statement (No. 333-188941) Form S-8 Registration Statement (No. 333-204084) Form S-8 Registration Statement (No. 33 |
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| October 3, 2019 |
Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] Investor Relations | +1 212 606 7176 | Jennifer Park | [email protected] SOTHEBY'S ANNOUNCES CLOSING OF ACQUISITION BY PA |
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| October 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 3, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| October 3, 2019 |
EX-3.2 3 exhibit32by-lawsofsoth.htm EXHIBIT 3.2 Exhibit 3.2 BY-LAWS OF SOTHEBY’S (a Delaware corporation) (the “Corporation”) ARTICLE I STOCKHOLDERS Section 1.01 Annual Meeting. The annual meeting of the stockholders, for the purpose of electing directors and transacting such other business as may come before it, shall be held on such date and at such time and place, either within or without the S |
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| October 3, 2019 |
Certificate of Incorporation of Sotheby's Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SOTHEBY’S * * * * * ARTICLE ONE The name of the corporation is Sotheby’s (the “Corporation”). ARTICLE TWO The address of the Corporation’s registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801. The name of its registered agent at such address is The C |
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| October 3, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 14, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 19, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 19, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Emplo |
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| September 19, 2019 |
Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] Investor Relations | +1 212 606 7176 | Jennifer Park | [email protected] Sotheby’s Announces Regulatory Approvals and Pla |
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| September 5, 2019 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 5, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employ |
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| September 5, 2019 |
Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] Investor Relations | +1 212 606 7176 | Jennifer Park | [email protected] | Dan Abernethy | [email protected] Sot |
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| August 9, 2019 |
BID / Sotheby's / ALLIANCEBERNSTEIN L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Sotheby's (Name of Issuer) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) July 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| August 7, 2019 |
BID / Sotheby's DEFM14A - - DEFM14A DEFM14A 1 d769551ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: |
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| July 30, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 30, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer I |
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| July 30, 2019 |
EX-99.1 2 exhibit991-earningsrelease.htm EXHIBIT 99.1 Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS 2019 SECOND QUARTER FINANCIAL RESULTS NEW YORK, July 30, 2019 - Sotheby’s (NYSE: BID) today reported its financial results for the second quarter and six months ended J |
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| July 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9750 (Exact nam |
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| July 23, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 23, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer I |
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| July 23, 2019 |
Exhibit 99.1 Jennifer Park | Dan Abernethy | [email protected] | [email protected] +1 212 894 1023 NOTICE REGARDING SOTHEBY'S SECOND QUARTER 2019 EARNINGS NEW YORK, July 23, 2019 - Given the announcement made on June 16, 2019 regarding Sotheby’s entry into a definitive agreement to be acquired by BidFair USA LLC and BidFair MergeRight Inc., Sotheby’s does not intend to hold a con |
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| July 11, 2019 |
BID / Sotheby's PREM14A - - PREM14A PREM14A 1 d769551dprem14a.htm PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: |
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| July 3, 2019 |
8-K 1 a8-kdgdeparture.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 1, 2019 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (C |
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| June 26, 2019 |
EX-99.4 3 ex994.htm EXHIBIT 4 Exhibit 4 POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints JEAN-LUC BERREBI the undersigned’s true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of Sotheby’s (the “Company”), Forms 3, 4 and 5 and Schedules 13D and 13G (and any amendme |
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| June 26, 2019 |
EX-99.3 2 ex993.htm EXHIBIT 3 Exhibit 3 AGREEMENT OF JOINT FILING This joint filing agreement (this “Agreement”) is made and entered into as of this 26th day of June, 2019, by and between BidFair USA LLC and Patrick Drahi. The parties to this Agreement hereby agree to prepare jointly and file timely (and otherwise to deliver as appropriate) all filings on any Form 3, 4 or 5 or Schedule 13D or 13G, |
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| June 26, 2019 |
BID / Sotheby's / Bidfair Usa Llc - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Sotheby’s (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Patrick Drahi 5 Rue Eugene Ruppert, L-2453 Grand Duchy of Luxembourg N4 Copies to: Gary J. Simon Hughes Hubbard & Reed LLP One Battery Park Plaza |
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| June 17, 2019 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among BIDFAIR USA LLC BIDFAIR MERGERIGHT INC. and SOTHEBY’S Dated as of June 16, 2019 TABLE OF CONTENTS Page ARTICLE I CERTAIN DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Rules of Construction 18 ARTICLE II THE MERGER 19 Section 2.1 Merger 19 Section 2.2 Charter and Bylaws 20 Section 2.3 Effective Time of the Merger 2 |
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| June 17, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 16, 2019 Date of Report (Date of Earliest Event Reported) Sotheby’s (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| June 17, 2019 |
EX-99.1 Exhibit 99.1 EXECUTION VERSION VOTING AND SUPPORT AGREEMENT by and among BIDFAIR USA LLC, BIDFAIR MERGERIGHT INC. and certain STOCKHOLDERS OF SOTHEBY’S Dated as of June 16, 2019 VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of June 16, 2019 by and among the persons identified on Schedule I hereto (each, a “Stockholder” and col |
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| June 17, 2019 |
EX-99.2 4 d766624dex992.htm EX-99.2 Exhibit 99.2 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] Investor Relations | +1 212 606 7176 | Jennifer Park | [email protected] | Dan Aberne |
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| June 17, 2019 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among BIDFAIR USA LLC BIDFAIR MERGERIGHT INC. and SOTHEBY’S Dated as of June 16, 2019 TABLE OF CONTENTS Page ARTICLE I CERTAIN DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Rules of Construction 18 ARTICLE II THE MERGER 19 Section 2.1 Merger 19 Section 2.2 Charter and Bylaws 20 Section 2.3 Effective Time of the Merger 2 |
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| June 17, 2019 |
EX-99.1 3 d766624dex991.htm EX-99.1 Exhibit 99.1 EXECUTION VERSION VOTING AND SUPPORT AGREEMENT by and among BIDFAIR USA LLC, BIDFAIR MERGERIGHT INC. and certain STOCKHOLDERS OF SOTHEBY’S Dated as of June 16, 2019 VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of June 16, 2019 by and among the persons identified on Schedule I hereto (e |
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| June 17, 2019 |
Joint Press Release, dated June 17, 2019. EX-99.2 Exhibit 99.2 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 (0) 207 293 6000 | Mitzi Mina | [email protected] Hong Kong | +852 2822 8140/5509 | Winnie Tang | [email protected] Investor Relations | +1 212 606 7176 | Jennifer Park | [email protected] | Dan Abernethy | Dan.Abernethy@sothebys |
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| June 17, 2019 |
BID / Sotheby's DEFA14A - - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 16, 2019 Date of Report (Date of Earliest Event Reported) Sotheby’s (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| June 17, 2019 |
EX-99.1 2 tv523656ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 VOTING AND SUPPORT AGREEMENT by and among BIDFAIR USA LLC, BIDFAIR MERGERIGHT INC. and certain STOCKHOLDERS OF SOTHEBY’S Dated as of June 16, 2019 VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of June 16, 2019 by and among the persons identified on Schedule I hereto (each, a “Stoc |
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| June 17, 2019 |
BID / Sotheby's / Third Point LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Sotheby’s (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Name, Address and Telephone Number of Person Au |
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| June 14, 2019 |
June 14, 2019 Division of Corporation Finance Office of Information Technologies and Services United States Securities and Exchange Commission 100 F Street, N. |
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| June 10, 2019 |
BID / Sotheby's / ALLIANCEBERNSTEIN L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Sotheby's (Name of Issuer) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) May 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| May 10, 2019 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 MICHAEL J. WOLF APPOINTED TO SOTHEBY'S BOARD OF DIRECTORS NEW YORK, May 10, 2019 - Sotheby’s (NYSE: BID) announced today that Michael J. Wolf has been unanimously elected to join the Company’s Board of Directors. Mr. Wolf is the Chief Execu |
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| May 10, 2019 |
8-K 1 a8-kshareholdervotexmay2019.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 9, 2019 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorp |
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| May 10, 2019 |
BID / Sotheby's / Third Point LLC - SCHEDULE 13D (AMENDMENT NO. 9) Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* Sotheby’s (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Name, Address and Telephone Number of Person Aut |
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| May 2, 2019 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS 2019 FIRST QUARTER FINANCIAL RESULTS NEW YORK, May 2, 2019 - Sotheby’s (NYSE: BID) today reported its financial results for the first quarter ended March 31, 2019. For the three months ended March 31, 2019, Sotheby’s repor |
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| May 2, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 2, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Ide |
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| May 2, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2019 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| March 29, 2019 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant — Check the appropriate box: - Preliminary Proxy Statement - Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 29, 2019 |
DEF 14A 1 d705440ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ |
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| March 1, 2019 |
As filed with the Securities and Exchange Commission on March 1, 2019. File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SOTHEBY’S (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation or Organization) 38-2478409 (I.R.S. Employer Identificatio |
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| February 28, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8-kbidxearningsbody.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 28, 2019 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) ( |
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| February 28, 2019 |
EX-99.1 2 exhibit991-earningsrelease.htm EXHIBIT 99.1 Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS 2018 FULL YEAR FINANCIAL RESULTS 16% Increase in Consolidated Sales Fuels Operating Income Growth Company Will Celebrate 275th Anniversary on March 11, 2019 NEW YORK, F |
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| February 28, 2019 |
Amended and Restated Certificate of Incorporation of Sotheby's. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SOTHEBY’S Sotheby’s, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: A. The original Certificate of Incorporation of the Corporation was filed with the Secretary of the State of Delaware on March 30, 2006. B. This Amended and Restated Certificate of Incorp |
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| February 28, 2019 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF SOTHEBY'S As of December 31, 2018, the significant subsidiaries of Sotheby's, which are wholly owned except where indicated, are as follows: Entity Name Jurisdiction of Incorporation 1334 York, LLC Delaware Fine Art Insurance Ltd. |
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| February 28, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2018. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 1-9750 (Exact name of re |
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| February 28, 2019 |
EXHIBIT 10.27 To: Sotheby’s 1334 York Avenue New York, NY 10021 From: JPMorgan Chase Bank, National Association London Branch 25 Bank Street Canary Wharf London E14 5JP England Re: Accelerated Stock Repurchases This master confirmation (this “Master Confirmation”), dated as of December 13, 2018 is intended to set forth certain terms and provisions of certain Transactions (each, a “Transaction”) en |
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| February 28, 2019 |
Amended and Restated By-Laws of Sotheby's. Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF SOTHEBY’S (a Delaware corporation, the “Corporation”) (as amended and restated through February 14, 2019) ARTICLE I Stockholders Section 1.1 Annual Meetings. An annual meeting of stockholders shall be held for the election of directors, and, subject to Section 1.12 of these By-Laws, to conduct such other proper business as may be brought before the meeti |
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| February 28, 2019 |
Separation Agreement, dated December 3, 2018, between the Company and Adam Chinn. EXHIBIT 10.19 SEPARATION AGREEMENT AND GENERAL RELEASE The parties to this Separation Agreement and General Release ("Agreement") are Adam Chinn ("Executive") and Sotheby's and/or the related company employing Executive ("Sotheby's" or the "Company"). WHEREAS, the Executive is a party to an employment agreement with the Company dated January 11, 2016 (the “Employment Agreement”) and a Purchase Agr |
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| February 14, 2019 |
Submission of Matters to a Vote of Security Holders 8-K 1 a8-kshareholdervotexfeb2019.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 14, 2019 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of |
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| February 13, 2019 |
BID / Sotheby's / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Sotheby's (Name of Issuer) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 11, 2019 |
BID / Sotheby's / VANGUARD GROUP INC Passive Investment sothebys.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8 )* Name of issuer: Sotheby's Title of Class of Securities: Common Stock CUSIP Number: 835898107 Date of Event Which Requires Filing of this Statement: December 31, 2018 Check the appropriate box to designate the |
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| January 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o o Preliminary Proxy Statement o Confidential, for Use |
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| January 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o o Preliminary Proxy Statement o Confidential, for Use |
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| December 14, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 a8-kbidxdecemberasr.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 13, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorpor |
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| December 14, 2018 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S ANNOUNCES REPURCHASES UNDER ACCELERATED SHARE REPURCHASE PROGRAM NEW YORK, 14 December 2018 - Sotheby’s (NYSE:BID) announced today that it will repurchase shares pursuant to an Accelerated Share Repurchase Program (ASR) for an agg |
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| December 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o x Preliminary Proxy Statement o Confidential, for Use |
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| December 3, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 3, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| December 3, 2018 |
Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] SOTHEBY’S ANNOUNCES THE APPOINTMENT OF JOHN CAHILL AS EVP, CHIEF COMMERCIAL OFFICER & KEN CITRON AS EVP, OPERATIONS & CHIEF TRANSFORMATION OFFICER NEW YORK, 3 December 2018 - Sotheby’s (NYSE: BID) is pleased to announce the appointment of John Cahill to the role of Executive Vice President, Chief Commercial Officer, |
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| November 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 26, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| November 2, 2018 |
BID / Sotheby's / Third Point LLC - AMENDMENT NO. 8 TO SCHEDULE 13D Activist Investment AMENDMENT NO. 8 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Sotheby’s (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Na |
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| November 1, 2018 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS 2018 THIRD QUARTER FINANCIAL RESULTS NEW YORK, November 1, 2018 - Sotheby’s (NYSE: BID) today reported its financial results for the third quarter and nine months ended September 30, 2018. For the three months ended Septem |
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| November 1, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 1, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employe |
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| November 1, 2018 |
10-Q 1 bid9302018-10qxbrl.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2018 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorpor |
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| November 1, 2018 |
EXHIBIT 10.1 To: Sotheby’s 1334 York Avenue New York, NY 10021 From: HSBC Bank USA, National Association Re: Accelerated Stock Repurchases This master confirmation (this “Master Confirmation”), dated as of September 11, 2018 is intended to set forth certain terms and provisions of certain Transactions (each, a “Transaction”) entered into from time to time between HSBC Bank USA, National Associatio |
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| November 1, 2018 |
EXHIBIT 10.2 HSBC BANK USA, NATIONAL ASSOCIATION, as Agent 452 Fifth Avenue New York, New York 10018 As of October 18, 2018 1334 York, LLC 1334 York Avenue New York, New York 10021 Re: Sotheby’s - 1334 York Avenue, New York, New York Dear Ladies and Gentlemen: Reference is hereby made to that certain loan in the original principal amount of $325,000,000.00 (the “Loan”) made by the Lenders (as defi |
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| October 22, 2018 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 18, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employe |
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| September 12, 2018 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S ANNOUNCES REPURCHASES UNDER ACCELERATED SHARE REPURCHASE PROGRAM NEW YORK, 12 September 2018 - Sotheby’s (NYSE:BID) announced today that it will repurchase shares pursuant to an Accelerated Share Repurchase Program (ASR) for an ag |
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| September 12, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 a8-kbidxrepurchasex9122018.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 11, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of |
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| August 29, 2018 |
BID / Sotheby's 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 29, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| August 6, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 6, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| August 6, 2018 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS 2018 SECOND QUARTER FINANCIAL RESULTS NEW YORK, August 6, 2018 - Sotheby’s (NYSE: BID) today reported its financial results for the second quarter and six months ended June 30, 2018. For the three months ended June 30, 201 |
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| August 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2018 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| July 2, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 26, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer I |
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| July 2, 2018 |
EX-10.1 2 ex101creditagreement.htm EXHIBIT 10.1 EXHIBIT 10.1 CREDIT AGREEMENT dated as of June 26, 2018 among SOTHEBY’S, The Other Borrowers and Other Loan Parties Party Hereto, The Lenders Party Hereto, JPMORGAN CHASE BANK, N.A., as Administrative Agent WELLS FARGO BANK, N.A. and HSBC BANK USA, N.A., as Co-Syndication Agents and ING CAPITAL LLC, as Documentation Agent JPMORGAN CHASE BANK, N.A., W |
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| May 4, 2018 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 3, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Emp |
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| May 3, 2018 |
Exhibit 99.1 Lauren Gioia | Jennifer Park | Dan Abernethy | [email protected] | [email protected] | [email protected] +1 212 606 7176 SOTHEBY’S REPORTS FIRST QUARTER 2018 FINANCIAL RESULTS NEW YORK, May 3, 2018 - Sotheby’s (NYSE: BID) today reported its financial results for the first quarter ended March 31, 2018. For the three months ended March 31, 2018, Sotheby’s repor |
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| May 3, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 3, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Ide |
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| May 3, 2018 |
BID / Sotheby's 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2018 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| March 27, 2018 |
EX-99.1 2 exhibit991801release.htm EXHIBIT 99.1 Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY'S EXTENDS SHARE OWNERSHIP TO EMPLOYEES AROUND THE WORLD Making Colleagues Owners of the 274-Year-Old Firm NEW YORK, 27 March 2018 - Sotheby’s (NYSE:BID) is pleased to announce that all eligible employees around the w |
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| March 27, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 27, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| March 22, 2018 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant — Check the appropriate box: - Preliminary Proxy Statement - Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 22, 2018 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 14, 2018 |
8-K 1 a8-kbidxitem8x01xrule10b5.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 14, 2018 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incor |
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| March 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 6, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer I |
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| March 1, 2018 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS 2017 FULL YEAR AND FOURTH QUARTER FINANCIAL RESULTS NEW YORK, March 1, 2018 - Sotheby?s (NYSE: BID) today reported its financial results for the fourth quarter and twelve months ended December 31, 2017. For the twelve months ended December 31, 20 |
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| March 1, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 1, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS E |
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| March 1, 2018 |
EX-10.33 3 bid-12312017x10kxex1033.htm EXHIBIT 10.33 Exhibit 10.33 SOTHEBY’S DEFERRED COMPENSATION PLAN (2017 Amendment and Restatement) Exhibit 10.33 SOTHEBY’S DEFERRED COMPENSATION PLAN Sotheby’s, Inc. adopted this Sotheby’s Deferred Compensation Plan (the “Plan”), effective as of January 1, 2007, as an amendment and restatement and merger of its previously established nonqualified deferred comp |
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| March 1, 2018 |
Subsidiaries of the Registrant EXHIBIT 21 SUBSIDIARIES OF SOTHEBY'S As of December 31, 2017, the significant subsidiaries of Sotheby's, which are wholly owned except where indicated, are as follows: Entity Name Jurisdiction of Incorporation 1334 York, LLC Delaware Fine Art Insurance Ltd. |
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| March 1, 2018 |
BID / Sotheby's 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 1-9750 (Exact name of re |
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| March 1, 2018 |
EX-10.23 2 bid-12312017x10kxex1023.htm EXHIBIT 10.23 Exhibit 10.23 SOTHEBY’S STOCK COMPENSATION PLAN FOR NON-EMPLOYEE DIRECTORS (As Amended And Restated Effective May 7, 2015) 1.Adoption; Term. On February 26, 2015, the Board of Directors (the “Board”) of Sotheby’s, a Delaware corporation (the “Company”) approved this amendment and restatement of the Sotheby’s Stock Compensation Plan for Non-Emplo |
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| February 13, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 a8-kbidxviyet.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 13, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commiss |
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| February 13, 2018 |
Exhibit Exhibit 99.1 Sotheby?s | +1 212 606 7176 | Dan Abernethy | [email protected] Viyet | + 1 844 698 4938 | Tamara Rosenthal | [email protected] SOTHEBY'S EXPANDS E-COMMERCE PROGRAM Acquires Viyet, the Online Marketplace for Interior Design Strengthening Sotheby?s Position in the Market for Vintage and Antique Furniture, Decorative Objects and Accessories Expanding Retail Offerings to |
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| February 13, 2018 |
BID / Sotheby's / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Sotheby's (Name of Issuer) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 12, 2018 |
BID / Sotheby's / VANGUARD GROUP INC Passive Investment sothebys.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7 )* Name of issuer: Sotheby's Title of Class of Securities: Common Stock CUSIP Number: 835898107 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the |
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| February 12, 2018 |
BID / Sotheby's / VANGUARD GROUP INC - 3G/A (Passive Investment) sothebys.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7 )* Name of issuer: Sotheby's Title of Class of Securities: Common Stock CUSIP Number: 835898107 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the |
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| January 25, 2018 |
Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 25, 2018 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| January 25, 2018 |
Exhibit Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Darrell Rocha | [email protected] London | +44 207 293 6000 | Mitzi Mina | [email protected] SOTHEBY?S ENHANCES DATA CAPABILITIES Acquires Thread Genius - An Artificial Intelligence Company Specializing in Image Recognition & Recommendation Technologies Adds Talent in Software Development, M |
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| December 12, 2017 |
Exhibit Exhibit 4.1 SOTHEBY?S, as Issuer and THE INITIAL SUBSIDIARY GUARANTORS PARTY HERETO and U.S. BANK NATIONAL ASSOCIATION as Trustee Indenture Dated as of December 12, 2017 4.875% Senior Notes due 2025 TABLE OF CONTENTS Page Article One DEFINITIONS AND INCORPORATION BY REFERENCE 2 Section 1.01. Definitions 2 Section 1.02. Incorporation by Reference of Trust Indenture Act 14 Section 1.03. Rule |
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| December 12, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 12, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| December 7, 2017 |
EX-99.1 2 exhibit991701pricingrelea.htm EXHIBIT 99.1 Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY’S PRICES $400 MILLION OF SENIOR NOTES DUE 2025 NEW YORK, December 7, 2017 - Sotheby’s (NYSE: BID) today announced the pricing of $400 million of its senior unsecured Notes due 2025 through an offering to qualifi |
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| December 7, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 7, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| December 7, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 a8-kbidx701release.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 7, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Com |
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| December 7, 2017 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S ANNOUNCES PROPOSED OFFERING OF $400 MILLION OF SENIOR NOTES DUE 2025 December 7, 2017, New York - Sotheby?s (NYSE: BID) is proposing to offer and sell, subject to market and other conditions, $400 million in aggregate principal amount of its senior notes |
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| November 16, 2017 |
SC 13D/A 1 sothebysamendmentno3.htm AMENDMENT NO. 3 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Sotheby's (Name of Issuer - as specified in its charter) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) Yeung Ying Kit c/o Taikang Asset Management (Hong Kong) Limited RM 4911-49 |
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| November 7, 2017 |
BID / Sotheby's 8-K (Current Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 7, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File N |
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| November 3, 2017 |
Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY’S REPORTS THIRD QUARTER 2017 FINANCIAL RESULTS NEW YORK, November 3, 2017 - Sotheby’s (NYSE: BID) today reported its financial results for the third quarter and nine months ended September 30, 2017. For the three months ended September 30, 2017, Sotheby’s reported |
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| November 3, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 3, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| November 3, 2017 |
Exhibit 10.1 SOTHEBY?S NEVADA, INC. 1334 York Avenue New York, New York 10021 SOTHEBY?S SECOND AMENDED AND RESTATED EXECUTIVE SEVERANCE BENEFITS PLAN Effective July 26, 2017 TABLE OF CONTENTS Page ARTICLE ONE FOREWORD 1 1.01 Purpose of the Plan 1 1.02 Plan Status 1 ARTICLE TWO DEFINITIONS 1 2.01 Accounting Firm 1 2.02 Administrator 1 2.03 Base Salary 1 2.04 Bonus Plan 1 2.05 Board 2 2.06 Cause 2 2 |
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| November 3, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2017 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Empl |
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| October 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 27, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 22, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 22, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| August 15, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 15, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 3, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 3, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS |
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| August 3, 2017 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS SECOND QUARTER 2017 FINANCIAL RESULTS NEW YORK, August 3, 2017 - Sotheby?s (NYSE: BID) today reported its financial results for the second quarter and six months ended June 30, 2017. "We are pleased to report solid results for the quarter and the |
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| August 3, 2017 |
Exhibit 10.1 SOTHEBY?S NEVADA, INC. 1334 York Avenue New York, New York 10021 April 27, 2017 Acquavella Contemporary Art, Inc. c/o Mr. William R. Acquavella 18 East 79th Street New York, New York 10075 Reference is made to the Agreement of Partnership (the ?Partnership Agreement?) of Acquavella Modern Art, a Nevada general partnership, dated May 29, 1990, between Sotheby?s Nevada, Inc., a Nevada c |
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| August 3, 2017 |
10-Q 1 bid6302017-10qxbrl2017.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2017 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorpora |
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| July 26, 2017 |
Entry into a Material Definitive Agreement Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 25, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS |
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| June 21, 2017 |
Exhibit HSBC Loan #: 11-4004213 FIRST AMENDMENT TO LOAN AGREEMENT AND GUARANTY OF RECOURSE CARVEOUTS Dated as of June 21, 2017 Between 1334 YORK, LLC , as Borrower, and SOTHEBY?S , as Guarantor and HSBC BANK USA , NATIONAL ASSOCIATION , as Agent, and THE LENDERS NAMED HEREIN, as Lenders Location: 1334 York Avenue, New York New York USActive 37092109. |
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| June 21, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 21, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 22, 2017 |
Document May 22, 2017 Ms. Kathleen Collins Accounting Branch Chief Office of Information Technologies and Services Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Sotheby?s Form 10-K for the Fiscal Year Ended December 31, 2016 Filed February 27, 2017 File No. 001-09750 Dear Ms. Collins: On behalf of Sotheby's, I am resp |
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| May 15, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 12, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| May 12, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 12, 2017 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| May 10, 2017 |
Sotheby's 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2017 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. |
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| May 10, 2017 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS FIRST QUARTER 2017 FINANCIAL RESULTS NEW YORK, May 10, 2017 - Sotheby?s (NYSE: BID) today reported its financial results for the first quarter ended March 31, 2017. For the three months ended March 31, 2017, Sotheby?s reported a net loss of ($11. |
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| May 10, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 10, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS E |
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| May 10, 2017 |
SOTHEBY’S NEVADA, INC. 1334 York Avenue New York, New York 10021 Exhibit 10.1 SOTHEBY’S NEVADA, INC. 1334 York Avenue New York, New York 10021 March 27, 2017 Acquavella Contemporary Art, Inc. c/o Mr. William R. Acquavella 18 East 79th Street New York, New York 10075 Dear Bill: This letter agreement amends the Agreement of Partnership (the “Partnership Agreement”) of Acquavella Modern Art, a Nevada general partnership, dated May 29, 1990, between Sotheby’s Nevad |
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| May 3, 2017 |
Document May 3, 2017 Ms. Kathleen Collins Accounting Branch Chief Office of Information Technologies and Services Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Sotheby?s Form 10-K for the Fiscal Year Ended December 31, 2016 Filed February 27, 2017 File No. 001-09750 Dear Ms. Collins: On behalf of Sotheby's, I am respo |
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| March 29, 2017 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2017 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: - Preliminary Proxy Statement - Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 7, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| March 7, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 a8-kinvestorpresentation.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 7, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) ( |
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| March 7, 2017 |
EX-99.1 2 bidmarch2017irslides.htm EXHIBIT 99.1 Investor Briefing March 2017 Forward-looking Statements: This presentation contains certain “forward-looking statements” (as such term is defined in the Securities and Exchange Act of 1934, as amended) relating to future events and the financial performance of the Company. See Statement on Forward-Looking Statements in the Appendix to this presentati |
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| February 27, 2017 |
Exhibit 10.52 FOURTH AMENDED AND RESTATED SOTHEBY’S RESTRICTED STOCK UNIT PLAN Effective as of February 7, 2017 Exhibit 10.52 FOURTH AMENDED AND RESTATED SOTHEBY’S RESTRICTED STOCK UNIT PLAN Effective as of February 7, 2017 TABLE OF CONTENTS Page ARTICLE 1 BACKGROUND, AMENDMENT, PURPOSE AND TERM 1 1.1 Establishment of Original Plan and Fourth Amended and Restated Plan 1 1.2 Plan Amendments 1 1.3 P |
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| February 27, 2017 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS FOURTH QUARTER AND FULL YEAR 2016 FINANCIAL RESULTS NEW YORK, 27 February 2017 - Sotheby?s (NYSE: BID) today reported its financial results for the fourth quarter and full year ended 31 December 2016. ?Our fourth quarter 2016 results came in bett |
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| February 27, 2017 |
* * * * * * * * * * * * * * * * * Exhibit 10.50 Amended as of February 24, 2017 BY HAND Michael Goss Dear Mike: I am pleased to offer you the position of EVP and Chief Financial Officer reporting to the Chief Executive Officer, beginning March 28, 2016. The significant components of the offer are described below: Your annual salary will be seven hundred and fifty thousand dollars ($750,000) payable semi-monthly on the 15th and las |
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| February 27, 2017 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 27, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| February 27, 2017 |
EXHIBIT 21 SUBSIDIARIES OF SOTHEBY'S As of December 31, 2016, the significant subsidiaries of Sotheby's, which are wholly owned except where indicated, are as follows: Entity Name Jurisdiction of Incorporation 1334 York, LLC Delaware Fine Art Insurance Ltd. |
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| February 27, 2017 |
Exhibit 10.59 SOTHEBY’S FIRST AMENDED AND RESTATED EXECUTIVE SEVERANCE BENEFITS PLAN Effective February 7, 2017 Exhibit 10.59 TABLE OF CONTENTS Page ARTICLE ONE FORWARD 1 1.01 Purpose of the Plan 1 1.02 Plan Status 1 ARTICLE TWO DEFINITIONS 1 2.01 Accounting Firm 1 2.02 Administrator 1 2.03 Base Salary 1 2.04 Bonus Plan 1 2.05 Board 1 2.06 Cause 2 2.07 Change in Control 2 2.08 Chief Executive Offi |
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| February 27, 2017 |
* * * * * * * * * * * * * * * * * Exhibit 10.67 SOTHEBY'S December 16, 2015 BY HAND Dennis Weibling Dear Dennis: I am pleased to offer you the position of Interim Chief Financial Officer reporting to Tad Smith, President and Chief Executive Officer pursuant to this letter agreement (the “Employment Agreement”). The position will begin on January 1, 2016 and continue through no later than June 30, 2016 while Sotheby’s searches for |
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| February 27, 2017 |
BID / Sotheby's 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 1-9750 (Exact name of re |
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| February 13, 2017 |
Sotheby's 3G/A (Passive Acquisition of More Than 5% of Shares) sothebys.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6 )* Name of issuer: Sotheby's Title of Class of Securities: Common Stock CUSIP Number: 835898107 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriate box to designate the |
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| February 10, 2017 |
BID / Sotheby's / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sotheby's (Name of Issuer) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 3, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 1, 2017 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| February 3, 2017 |
Exhibit Exhibit 99.2 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Dan Abernethy | [email protected] London | +44 207 293 6000 | Mitzi Mina | [email protected] | ADAM CHINN APPOINTED CHIEF OPERATING OFFICER OF SOTHEBY?S NEW YORK, 1 February 2017 - Sotheby?s (NYSE: BID) is pleased to announce the appointment of Adam Chinn to the role of Chief Operating Offic |
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| February 3, 2017 |
EX-99.1 2 ex991coo.htm EXHIBIT 99.1 Exhibit 99.1 January 11, 2016 Mr. Adam Chinn Employment Agreement Dear Adam: This letter (the “Agreement”) will confirm the terms of your employment by Sotheby’s (the “Company”). Certain terms used herein are defined in Section 16(e). 1.Term. This term of this Agreement (the “Term”) shall be effective as of the Closing (the “Commencement Date”) and, unless termi |
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| November 15, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Sotheby's (Name of Issuer - as specified in its charter) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) Yeung Ying Kit c/o Taikang Asset Management (Hong Kong) Limited RM 4911-4913, 49/F The Center 99 Queen's Road Central, Sheng Wan Hong Kong (SA |
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| November 7, 2016 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 4, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| November 7, 2016 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS THIRD QUARTER 2016 FINANCIAL RESULTS NEW YORK, 7 November 2016 - Sotheby?s (NYSE: BID) today reported its financial results for the third quarter and nine months ended 30 September 2016. For the three months ended 30 September 2016, Sotheby?s rep |
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| November 7, 2016 |
Exhibit Exhibit 99.2 SUPPORT AGREEMENT This Support Agreement, dated November 4, 2016 (this ? Agreement ?), is by and among Taikang Insurance Group (? Taikang ?) and Sotheby?s (the ? Company ?). RECITALS WHEREAS, Taikang and certain of its affiliates are deemed to beneficially own shares of common stock of the Company, par value $0.01 (the ? Common Stock ?) totaling, in the aggregate, 7,918,661 sh |
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| November 7, 2016 |
Exhibit Exhibit 99.3 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 LINUS W. L. CHEUNG APPOINTED TO SOTHEBY'S BOARD OF DIRECTORS Retired Hong Kong Telecom and Cathay Pacific Executive Brings Significant Experience in Asia NEW YORK, 7 November 2016 - Sotheby?s announced today that Linus Wing Lam Cheung has been unanimously elected |
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| November 7, 2016 |
BID / Sotheby's 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2016 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Empl |
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| October 4, 2016 |
Exhibit Exhibit 10.1 SHARE REPURCHASE AGREEMENT THIS SHARE REPURCHASE AGREEMENT (this ? Agreement ?) is made and entered into as of October 3, 2016, by and among Marcato, L.P., and Marcato II, L.P., each a Delaware limited partnership (collectively, the ? Sellers ?), and Sotheby?s, a Delaware corporation (the ? Purchaser ?). RECITALS WHEREAS, the Sellers desire to sell to the Purchaser, and the Pu |
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| October 4, 2016 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 30, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) |
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| October 4, 2016 |
Sotheby's AMENDMENT NO. 12 TO SCHEDULE 13D (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 d241684dsc13da.htm AMENDMENT NO. 12 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* SOTHEBY’S (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Richard T. McGuire III Marcato Capital Management LP Four Embarcade |
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| October 4, 2016 |
EX-3 EXHIBIT 3 TRANSACTIONS Except for the Repurchase Transaction described in Item 4 of this Schedule 13D amendment, the following table sets forth all transactions with respect to Shares effected in the last sixty days by the Reporting Persons or on behalf of the Reporting Persons in respect of the Shares. |
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| October 4, 2016 |
EX-10.2 3 ex102confidentialityxagre.htm EXHIBIT 10.2 Exhibit 10.2 October 3, 2016 To: Richard T. McGuire III Marcato Capital Management LP Marcato, L.P. Marcato II, L.P. Marcato International Master Fund, Ltd. Confidentiality Agreement Ladies and Gentlemen: In order to allow Richard T. McGuire III, Marcato Capital Management LP, Marcato, L.P., Marcato II, L.P., and Marcato International Master Fun |
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| September 15, 2016 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 15, 2016 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File |
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| September 12, 2016 |
Sotheby's AMENDMENT NO. 1 TO SCHEDULE 13D (Activist Acquisition of More Than 5% of Shares) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sotheby's (Name of Issuer - as specified in its charter) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) Yeung Ying Kit c/o Taikang Asset Management (Hong Kong) Limited RM 4911-4913, 49/F The Center 99 Queen's Road Central, Sheng Wan Hong Kong (SA |
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| September 9, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 8, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Emplo |
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| September 9, 2016 |
[Letterhead of Taikang Insurance Group] Exhibit Exhibit 99.1 [Letterhead of Taikang Insurance Group] September 8, 2016 Sotheby?s 1334 York Avenue New York, NY 10021 Domenico and Tad: Following up on our recent discussions, Taikang Insurance Group (formerly known as Taikang Life Insurance Co., Ltd.) (?Taikang?) is pleased to be able to work with Sotheby?s to identify a qualified independent director to add to its Board. As we recognize t |
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| August 16, 2016 |
BID / Sotheby's / Third Point LLC - AMENDMENT NO. 7 TO SCHEDULE 13D Activist Investment Amendment No. 7 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Sotheby’s (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Na |
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| August 16, 2016 |
BID / Sotheby's / Third Point LLC - AMENDMENT NO. 7 TO SCHEDULE 13D Activist Investment Amendment No. 7 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Sotheby’s (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Na |
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| August 8, 2016 |
EXHIBIT 10.1 SOTHEBY’S COMPENSATION RECOUPMENT POLICY Section 1. Purpose. This Policy is designed to help deter actions that could potentially harm the financial position of Sotheby’s (the “Corporation”) and its stockholders and to support the Corporation’s pay-for-performance philosophy for executive compensation. Section 2. Definitions. For purposes of this Policy, the following terms shall have |
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| August 8, 2016 |
BID / Sotheby's 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| August 8, 2016 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS SECOND QUARTER 2016 FINANCIAL RESULTS NEW YORK, 8 August 2016 - Sotheby?s (NYSE: BID) today reported its financial results for the second quarter and six months ended 30 June 2016. For the three months ended 30 June 2016, Sotheby?s reported net i |
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| August 8, 2016 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 8, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS |
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| July 28, 2016 |
Sotheby's 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 22, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS |
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| July 27, 2016 |
BID / Sotheby's / Taikang Insurance Group, Inc. - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Sotheby's (Name of Issuer - as specified in its charter) Common Stock (Title of Class of Securities) 835898107 (CUSIP Number) Yeung Ying Kit c/o Taikang Asset Management (Hong Kong) Limited RM 4911-4913, 49/F The Center 99 Queen's Road Central, Sheng Wan Hong Kong (SAR), People's Republ |
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| May 10, 2016 |
Sotheby's 8-K (Current Report/Significant Event) SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 6, 2016 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 9, 2016 |
EXHIBIT 10.2 May 5, 2015 Jonathan Olsoff c/o Sotheby’s 1334 York Avenue New York, New York 10021 Dear Jonathan: This letter agreement (the "Agreement") sets forth our understanding with respect to your rights and obligations in the event of the termination of your employment with Sotheby’s (together with all of its subsidiaries and related entities, “Sotheby’s” or the “Company”). This Agreement is |
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| May 9, 2016 |
* * * * * * * * * * * * * * * * * EXHIBIT 10.4 August 13, 2015 VIA ELECTRONIC MAIL Lisa Nadler Dear Lisa: I am pleased to offer you the position of SVP, Worldwide Head of Human Resources reporting to me, beginning September 1, 2015 or on a mutually agreeable date. The significant components of the offer are described below: Your annual salary will be four hundred and seventy thousand dollars ($470,000) payable semi-monthly on the |
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| May 9, 2016 |
SOTHEBY’S NEVADA, INC. 5600 Spring Mountain Road, Suite 104 Las Vegas, Nevada 89102 Exhibit 10.1 SOTHEBY’S NEVADA, INC. 5600 Spring Mountain Road, Suite 104 Las Vegas, Nevada 89102 March 30, 2016 Acquavella Contemporary Art, Inc. c/o Mr. William R. Acquavella 300 Pleasure Drive Flanders, NY 11901 Dear Bill: This letter agreement amends the Agreement of Partnership (the “Partnership Agreement”) of Acquavella Modern Art, a Nevada general partnership, dated May 29, 1990, between Sot |
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| May 9, 2016 |
SOTHEBY’S EXECUTIVE SEVERANCE BENEFITS PLAN EXHIBIT 10.6 SOTHEBY’S EXECUTIVE SEVERANCE BENEFITS PLAN Effective February 24, 2016 1 TABLE OF CONTENTS Page ARTICLE ONE FOREWORD 1 1.01 Purpose of the Plan 1 1.02 Plan Status 1 ARTICLE TWO DEFINITIONS 1 2.01 Accounting Firm 1 2.02 Administrator 1 2.03 Base Salary 1 2.04 Bonus Plan 1 2.05 Board 1 2.06 Cause 2 2.07 Change in Control 2 2.08 Chief Executive Officer 3 2.09 CIC Qualifying Termination |
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| May 9, 2016 |
* * * * * * * * * * * * * * * * * EXHIBIT 10.3 May 8, 2015 Jane Levine Dear Jane: This letter is to inform you that your compensation will be adjusted as follows: • Your annual salary will be increased from $257,500 to $350,000 ($14,583.33 per semi-monthly pay period) effective as of January 1, 2015. Your May 15, 2015 paycheck will reflect your increased salary and will include the retroactive portion of the increase that covers J |
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| May 9, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 9, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Id |
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| May 9, 2016 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS FIRST QUARTER 2016 FINANCIAL RESULTS NEW YORK, 9 May 2016 - Sotheby?s (NYSE: BID) today reported its financial results for the first quarter ended 31 March 2016. For the three months ended 31 March 2016, Sotheby?s reported Adjusted Diluted Loss P |
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| May 9, 2016 |
BID / Sotheby's 10-Q - Quarterly Report - 10-Q 10-Q 1 bid03312016-10qxbrl2015.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2016 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorpo |
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| May 9, 2016 |
* * * * * * * * * * * * * * * * * EXHIBIT 10.5 March 1, 2016 BY HAND Michael Goss Dear Mike: I am pleased to offer you the position of EVP and Chief Financial Officer reporting to Tad Smith, President and Chief Executive Officer beginning March 28, 2016. The significant components of the offer are described below: Your annual salary will be seven hundred and fifty thousand dollars ($750,000) payable semi-monthly on the 15th and la |
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| May 9, 2016 |
EX-10.7 8 bid-03x312016x10qex107.htm EXHIBIT 10.7 EXHIBIT 10.7 THIRD AMENDED AND RESTATED SOTHEBY’S RESTRICTED STOCK UNIT PLAN Effective as of May 5, 2016 THIRD AMENDED AND RESTATED SOTHEBY’S RESTRICTED STOCK UNIT PLAN Effective as of May 5, 2016 TABLE OF CONTENTS Page ARTICLE 1 BACKGROUND, AMENDMENT, PURPOSE AND TERM 1 1.1 Establishment of Original Plan and Third Amended and Restated Plan 1 1.2 P |
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| April 1, 2016 |
POWER OF ATTORNEY The undersigned constitutes and appoints each of JONATHAN A. OLSOFF, DAVID SCHWARTZ, JEROME S. KASDAN, SUSAN LOWRY and ROYCE MAKIL acting or signing individually, as the undersigned's true and lawful attorney-in-fact to: (1) Execute for and on behalf of the undersigned, in the undersigned's capacity as an officer or director of SOTHEBY'S, a Delaware corporation (the "Company"), F |
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| March 24, 2016 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 24, 2016 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: - Preliminary Proxy Statement - Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 15, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 14, 2016 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 3, 2016 |
EX-99.1 2 exhibit991-pressrelease.htm EXHIBIT 99.1 EXHIBIT 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Jennifer Park | [email protected] SOTHEBY’S APPOINTS MICHAEL GOSS CHIEF FINANCIAL OFFICER NEW YORK, 3 March 2016 - Sotheby’s has named Michael Goss as Executive Vice President and Chief Financial Officer. Mr. Goss, 56, will assume his new role effective M |
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| March 3, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 3, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Emplo |
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| March 1, 2016 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 25, 2016 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 1, 2016 |
EX-3.1 2 exhibit31bylawamend.htm EXHIBIT 3.1 Exhibit 3.1 PROPOSED AMENDMENT TO THE AMENDED AND RESTATED BY-LAWS OF SOTHEBY’S This Amendment to the Amended and Restated By-Laws of Sotheby’s (the “Corporation”), dated November 4, 2010 (the “By-Laws”), which amends the By-Laws to designate Delaware as the exclusive forum for certain corporate and other disputes, was approved and adopted by the Board |
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| March 1, 2016 |
EX-3.2 3 exhibit32bylawamendnov4.htm EXHIBIT 3.2 Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF SOTHEBY'S (a Delaware corporation, the “Corporation”) (as amended through November 4, 2010) ARTICLE I Stockholders Section 1.1. Annual Meetings. An annual meeting of stockholders shall be held for the election of Directors, and, subject to Section 1.12 of these By-Laws, to conduct such other proper busines |
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| February 29, 2016 |
BID / Sotheby's / Third Point LLC - SC 13D AMENDMENT NO. 6 Activist Investment SC 13D Amendment No. 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Sotheby’s (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Joshua L. Targoff Third Point LLC 390 Park Avenue, 19th Floor New York, NY 10022 (212) 715-3880 (Name, Addre |
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| February 26, 2016 |
Exhibit 10.51 SOTHEBY'S RESTRICTED STOCK UNIT PLAN PERFORMANCE SHARE UNIT AGREEMENT THIS AGREEMENT, entered into effective as of the 9th day of February, 2016 between SOTHEBY'S, a Delaware corporation (the "Corporation"), and FNAME LNAME (the "Participant"). WITNESSETH: WHEREAS, the Board of Directors of the Corporation (the "Board") has established the Sotheby's Restricted Stock Unit Plan, as ame |
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| February 26, 2016 |
EX-99.1 2 exhibit991-earningsrelease.htm EXHIBIT 99.1 Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY’S REPORTS FOURTH QUARTER AND FULL YEAR 2015 FINANCIAL RESULTS NEW YORK, 26 February 2016 - Sotheby’s (NYSE: BID) today reported its financial results for the fourth quarter and year ended 31 December 2015. Pres |
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| February 26, 2016 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 26, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS E |
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| February 26, 2016 |
BID / Sotheby's 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2015. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 1-9750 (Exact name of re |
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| February 26, 2016 |
Exhibit 10.35 December 15, 2015 Patrick S. McClymont Executive Vice President and Chief Financial Officer Sotheby’s 1334 York Avenue New York, New York 10021 Dear Patrick: This letter hereby amends your Severance Agreement dated September 22, 2013 together with its Exhibits, as amended on December 19, 2013 (together, the “Agreement”) with respect to your employment arrangement with Sotheby’s (the |
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| February 26, 2016 |
EXHIBIT 21 SUBSIDIARIES OF SOTHEBY'S As of December 31, 2015, the significant subsidiaries of Sotheby's, which are wholly owned except where indicated, are as follows: Entity Name Jurisdiction of Incorporation 1334 York, LLC Delaware Fine Art Insurance Ltd. |
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| February 26, 2016 |
EX-10.30 2 exhibit1030-wframendment.htm EXHIBIT 10.30 Exhibit 10.30 November 20, 2014 William F. Ruprecht President and Chief Executive Officer Sotheby’s 1334 York Avenue New York, New York 10021 Dear Bill: This letter hereby amends your Terms of Employment together with its Exhibits (the “Terms”) along with the Letter Agreement dated September 1, 2010 (the “Letter Agreement”), as further amended |
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| February 11, 2016 |
BID / Sotheby's / VANGUARD GROUP INC Passive Investment sothebys.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5 )* Name of issuer: Sotheby's Title of Class of Securities: Common Stock CUSIP Number: 835898107 Date of Event Which Requires Filing of this Statement: December 31, 2015 Check the appropriate box to designate the |
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| January 22, 2016 |
Sotheby's 8-K PRE-ANNOUNCEMENT (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 21, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Em |
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| January 11, 2016 |
Financial Statements and Exhibits, Other Events 8-K 1 a8-kannouncement.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 11, 2016 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commi |
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| January 11, 2016 |
EX-99.2 3 exhibit992-pressreleaseac.htm EXHIBIT 99.2 - PRESS RELEASE Exhibit 99.2 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Dan Abernethy | [email protected] Jennifer Park | [email protected] | SOTHEBY’S ADVANCES ITS STRATEGIC GROWTH PLAN BY ACQUIRING THE ART ADVISORY FIRM ART AGENCY, PARTNERS (AAP) NEW YORK, 11 January 2016 - Sotheby’s (NYSE: BID) t |
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| January 11, 2016 |
Exhibit EXHIBIT 99.1 EXECUTION VERSION PURCHASE AGREEMENT by and among AMY CAPPELLAZZO, ALLAN SCHWARTZMAN, ADAM CHINN and SOTHEBY?S, INC. Dated as of January 11, 2016 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE; CLOSING; CLOSING DELIVERIES 1.1 Purchase and Sale of AAP Equity Interests 1 1.2 Time and Place of Closing 2 1.3 Deliveries at or prior to Closing 2 1.4 Earn-out Consideration 3 1.5 |
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| December 17, 2015 |
EX-99.1 2 exhibit991-pressreleaseex.htm EXHIBIT 99.1 Exhibit 99.1 New York | +1 212 606 7176 | Lauren Gioia | [email protected] | Jennifer Park | [email protected] SOTHEBY’S APPOINTS DENNIS M. WEIBLING INTERIM CHIEF FINANCIAL OFFICER NEW YORK, 17 December 2015 - Sotheby’s has named Dennis M. Weibling its Interim Chief Financial Officer. Mr. Weibling, a member of Sotheby’s Board of |
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| December 17, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 14, 2015 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS E |
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| December 14, 2015 |
Sotheby's 8-K/A (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 13, 2015 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS |
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| November 16, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 13, 2015 Date of Report (Date of Earliest Event) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (IRS E |
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| November 16, 2015 |
Unassociated Document POWER OF ATTORNEY The undersigned constitutes and appoints each of JONATHAN A. |
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| November 12, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 9, 2015 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number |
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| November 9, 2015 |
AMENDMENT NO. 1 TO AMENDED AND RESTATED AUCTION GUARANTY SIDE LETTER EXHIBIT 10.2 EXECUTION COPY AMENDMENT NO. 1 TO AMENDED AND RESTATED AUCTION GUARANTY SIDE LETTER This AMENDMENT NO. 1 TO AMENDED AND RESTATED AUCTION GUARANTY SIDE LETTER (this ?Amendment?), dated as of September 16, 2015, by and among Sotheby?s, a Delaware corporation (?Parent?), Sotheby?s, Inc., a New York corporation (?Sotheby?s, Inc.?), Sotheby?s Financial Services, Inc., a Nevada corporation |
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| November 9, 2015 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS THIRD QUARTER 2015 FINANCIAL RESULTS NEW YORK, 9 November 2015 - Sotheby?s (NYSE: BID) today reported financial results for the third quarter and nine months ended 30 September 2015. President and Chief Executive Officer Tad Smith said, ?We are p |
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| November 9, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 9, 2015 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| November 9, 2015 |
EXHIBIT 10.1 JPMorgan Chase Bank, National Association P.O. Box 161 60 Victoria Embankment London EC4Y 0JP England August 13, 2015 To: Sotheby?s 1334 York Avenue New York, New York 10021 Re: Master Confirmation?Uncollared Accelerated Share Repurchase This master confirmation (this ?Master Confirmation?), dated as of August 13, 2015, is intended to set forth certain terms and provisions of certain |
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| November 9, 2015 |
10-Q 1 bid-09302015x10qxbrl.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2015 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorp |
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| September 16, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 16, 2015 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numb |
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| September 9, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 2, 2015 Date of Report (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 13, 2015 |
Exhibit Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S ANNOUNCES REPURCHASES UNDER ACCELERATED SHARE REPURCHASE PROGRAM NEW YORK, 13 August 2015 - Sotheby?s (NYSE:BID) announced today that it will repurchase shares pursuant to an Accelerated Share Repurchase Program (ASR) for an aggregate purchase price of $ |
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| August 13, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 13, 2015 (Date of Report) August 13, 2015 (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commi |
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| August 11, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-KBIDItem 8-01 Other ItemsQ3 AOI UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 7, 2015 |
EXHIBIT 10.1 Severance Agreement As of June 1, 2015 David Goodman Dear Mr. Goodman: This letter agreement (the "Agreement") sets forth our understanding with respect to your rights and obligations in the event of the termination of your employment with Sotheby?s (together with all of its subsidiaries and related entities, ?Sotheby?s? or the ?Company?). This Agreement is being provided to you becau |
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| August 7, 2015 |
Exhibit 10.3 ATTACHMENT A Conformed Auction Credit Agreement incorporating Amendment No. 1 dated June 15, 2015 AMENDED AND RESTATED CREDIT AGREEMENT Dated as of August 22, 2014 among SOTHEBY?S, a Delaware corporation SOTHEBY?S, INC., SOTHEBY?S FINANCIAL SERVICES, INC., SOTHEBY?S FINANCIAL SERVICES CALIFORNIA, INC., OBERON, INC., SOTHEBY?S VENTURES, LLC, OATSHARE LIMITED, SOTHEBY?S, a company regis |
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| August 7, 2015 |
EXHIBIT 10.4 ATTACHMENT B Conformed SFS Credit Agreement incorporating Amendment No. 1 dated June 15, 2015 AMENDED AND RESTATED CREDIT AGREEMENT Dated as of August 22, 2014 among SOTHEBY?S, INC., SOTHEBY?S FINANCIAL SERVICES, INC., SOTHEBY?S FINANCIAL SERVICES CALIFORNIA, INC., OBERON, INC., SOTHEBY?S VENTURES, LLC, SOTHEBY?S, a company registered in England, SOTHEBY?S FINANCIAL SERVICES LIMITED, |
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| August 7, 2015 |
Exhibit 99.1-Earnings Release 6/30/2015 Exhibit 99.1 New York | Lauren Gioia | Jennifer Park | [email protected] | [email protected] | +1 212 606 7176 SOTHEBY?S REPORTS SECOND QUARTER 2015 FINANCIAL RESULTS ? Second Quarter 2015 Adjusted Diluted Earnings Per Share* is $1.04 ? Sotheby?s Board Increases Share Repurchase Program to $250 million - Will Repurchase $125 million in the N |
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| August 7, 2015 |
EXHIBIT 10.5 SECOND AMENDED AND RESTATED SOTHEBY'S RESTRICTED STOCK UNIT PLAN (Reflecting Amendments Effective as of January 1, 2015) SECOND AMENDED AND RESTATED SOTHEBY'S RESTRICTED STOCK UNIT PLAN (Reflecting Amendments Effective as of January 1, 2015) TABLE OF CONTENTS Page ARTICLE 1 BACKGROUND, AMENDMENT PURPOSE AND TERM 1 1.1 Establishment of Original Plan and Amendment and Restatement of Pla |
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| August 7, 2015 |
EXHIBIT 10.2 EXECUTION COPY AMENDMENT NO. 1 TO AMENDED AND RESTATED AUCTION CREDIT AGREEMENT AND AMENDED AND RESTATED SFS CREDIT AGREEMENT This AMENDMENT NO. 1 TO AMENDED AND RESTATED AUCTION CREDIT AGREEMENT AND AMENDED AND RESTATED SFS CREDIT AGREEMENT (this “Amendment”), dated as of June 15, 2015, by and among Sotheby’s, a Delaware corporation (“Parent”), Sotheby’s, Inc., a New York corporation |
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| August 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2015 Commission File Number 1-9750 (Exact name of registrant as specified in its charter) Delaware 38-2478409 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| August 7, 2015 |
Sotheby's 8-K EARNINGS RELEASE (Current Report/Significant Event) 8-KBIDEarningsRelease 6/30/15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 6, 2015 |
EXHIBIT 10.1 HSBC Loan # 11-4004213 LOAN AGREEMENT Dated as of July 1, 2015 Between 1334 YORK, LLC, as Borrower and HSBC BANK USA, NATIONAL ASSOCIATION, as Agent, THE LENDERS NAMED HEREIN, as Lenders, and HSBC BANK USA, NATIONAL ASSOCIATION and INDUSTRIAL AND COMMERCIAL BANK OF CHINA, LIMITED, NEW YORK BRANCH, collectively, as Lead Arranger Property: 1334 York Avenue, New York, New York 10021 USAc |
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| July 6, 2015 |
EXHIBIT 10.3 HSBC Loan #: 11-4004213 ENVIRONMENTAL INDEMNITY AGREEMENT THIS ENVIRONMENTAL INDEMNITY AGREEMENT (this ?Agreement?) made as of the 1st day of July, 2015, by 1334 YORK, LLC, a Delaware limited liability company, having a principal place of business at 1334 York Avenue, New York, New York 10021 (?Borrower?), and SOTHEBY?S, a Delaware corporation, having a principal place of business at |
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| July 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 6, 2015 (Date of Report) July 1, 2015 (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File |
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| July 6, 2015 |
EXHIBIT 10.2 HSBC Loan #: 11-4004213 GUARANTY OF RECOURSE CARVEOUTS THIS GUARANTY (this “Guaranty”) is executed as of July 1, 2015 by SOTHEBY’S, a Delaware corporation, having an address at 1334 York Avenue, New York, New York 10021 (whether one or more collectively referred to as “Guarantor”), for the benefit of HSBC BANK USA, NATIONAL ASSOCIATION, a bank organized under the laws of the United St |
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| June 26, 2015 |
Sotheby's 8-K (Current Report/Significant Event) 8-KExec Departure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 26, 2015 (Date of Report) June 22, 2015 (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporati |
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| June 15, 2015 |
Sotheby's 8-K BID CREDIT FACILITY AMENDMENT JUNE 2015 (Current Report/Significant Event) 8-KBIDCF AmendmentJune2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 8, 2015 |
Sotheby's SC 13D/A (Activist Acquisition of More Than 5% of Shares) SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* SOTHEBY?S (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Richard T. McGuire III Marcato Capital Management LP One Montgomery Street, Suite 3250 San Francisco, CA 94104 (415) 796- |
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| June 2, 2015 |
Unassociated Document POWER OF ATTORNEY The undersigned constitutes and appoints each of JONATHAN A. |
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| June 1, 2015 |
BID / Sotheby's / MARCATO CAPITAL MANAGEMENT LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* SOTHEBY’S (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 835898107 (CUSIP Number) Richard T. McGuire III Marcato Capital Management LP One Montgomery Street, Suite 3250 San Francisco, CA 94104 (415) 796- |
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| June 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 F ORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 1, 2015 (Date of Report) May 26, 2015 (Date of Earliest Event Reported) Sotheby's (Exact name of registrant as specified in its charter) Delaware 1-9750 38-2478409 (State or other jurisdiction of incorporation) (Commission File |
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| June 1, 2015 |
EX-8 Exhibit 8 IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE THIRD POINT LLC, a Delaware limited ) liability company, ) ) Plaintiff, ) ) v. |
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| June 1, 2015 |
EX-2 EXHIBIT 2 TRANSACTIONS Except as set forth in previous amendments to this Schedule 13D, the following table sets forth all transactions with respect to Shares effected in the last sixty days by the Reporting Persons or on behalf of the Reporting Persons in respect of the Shares, inclusive of any transactions effected through 4:00 p. |
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| May 18, 2015 |
Unassociated Document POWER OF ATTORNEY The undersigned constitutes and appoints each of JONATHAN A. |
