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Sothebys 
 NY
  SEC # 823094


        
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2,592  SEC Filings
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  from  2/14/94  to  12/5/19  (None in the Past Year)

  List All Filings  or
  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘8-K’ — Current Report — Form 8-K — for 12/4/19 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Sothebys 

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Forms
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, Documents
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& Exhibits
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 in  479 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
12/5/19 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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243

8-K Items: 
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10/3/19 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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46
10/3/19 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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4
10/3/19 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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3
7/30/19 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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62
7/2/18 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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27
10/3/19 OLD"Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement — Item 2.04  OLD  — ‘EX-10’
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5
12/14/15 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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6
10/3/19 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 2
6/17/08 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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2
5/7/14 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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3
10/3/19 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD 1
12/5/19 OLD"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers
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46
10/3/19 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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5
9/5/19 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 8
9/19/19 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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16
6/17/19 OLD
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  Events: 
Other Events — Item 8.01  OLD 54
10/28/19 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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135

11/13/19 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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81
10/15/19 OLD15-12BRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
10/4/19 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 5
8/7/19 OLDDEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
7/11/19 OLDPREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
6/17/19 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 31
6/14/19 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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13
3/29/19 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 27
3/1/19 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 17
2/28/19 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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25
12/6/18 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 3
5/26/15 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 2
4/8/15 OLDARSUpdate:  Annual Reports to Security Holders  OLD 13
5/7/14 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 3
5/2/14 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
3/24/14 OLDDEFC14AProxy:  Definitive Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
3/13/14 OLDPREC14AProxy:  Preliminary Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
10/15/13 OLDCERTNYSTrading:  Certification by the NYSE Approving a Listing — Form CERT  OLD 1
9/12/12 OLDS-3ASRRegistration:  Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD 1
3/1/04 OLDSC TO-IOwnership:  Tender-Offer Statement by an Issuer — Schedule TO  OLD 1
3/12/02 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 3
2/4/99 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 2
10/22/98 OLD424B3Registration:  Prospectus – New Facts or Events  OLD 1
6/4/98 OLDS-3Registration:  Registration Statement – Securities for a Transaction — Form S-3  OLD 1

General Exhibits: 
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11/12/19 OLDEX-10Material Contracts  OLD 223
10/3/19 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 18
6/17/19 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 4
3/1/19 OLDEX-23Consents of Experts and Counsel  OLD 49
3/1/19 OLDEX-5Opinions of Counsel re: Legality  OLD 22
2/28/19 OLDEX-21Subsidiaries Lists  OLD 27
12/12/17 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 14
3/2/15 OLDEX-24Powers of Attorney  OLD 31
9/12/12 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 2
3/26/99 OLDEX-13Annual and Quarterly Reports to Security Holders  OLD 7
2/10/99 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 2

Additional Exhibits: 
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10/28/19 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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158

Financials: 
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12/5/19 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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2,998
12/5/19 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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52
12/5/19 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 261
12/5/19 OLDJSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  OLD 9
12/5/19 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
45
11/12/19 OLDEX-31Certifications — §302 – SOA’02  OLD 132
11/12/19 OLDEX-32Certifications — §906 – SOA’02  OLD 132
9/12/12 OLDEX-12Statements re: Computations of Ratios  OLD 2
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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31

Graphics: 
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11/13/19 OLDGRAPHICPhotos, Images and Graphs  OLD 1,102


Forms
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, Documents
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& Exhibits
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 in  2,116 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
10/4/19 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 1,835
10/3/19 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1
8/9/19 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 111
6/26/19 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 56
6/26/19 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 71
5/1/14 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD 17
3/28/14 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
3/17/14 OLDPREN14AProxy:  Preliminary Non-Management Proxy Statement — Schedule 14A  OLD 1
3/13/14 OLDPREC14AProxy:  Preliminary Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
4/12/12 OLDPX14A6GProxy:  Notice of an Exempt Non-Management Proxy Solicitation  OLD 1
3/1/04 OLDSC TO-IOwnership:  Tender-Offer Statement by an Issuer — Schedule TO  OLD 1

Letters: 
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6/19/19 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC19
6/19/19 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 2

General Exhibits: 
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8/19/19 OLDEX-24Powers of Attorney  OLD 69
10/4/16 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 2
3/26/14 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 4
9/9/05 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 2

Additional Exhibits: 
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10/3/19 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 118

Graphics: 
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11/15/16 OLDGRAPHICPhotos, Images and Graphs  OLD 183


        

Filings History

Year    # of Filings
In descending order
2019 118
2018 94
2017 98
2016 103
2015 158
2014 194
2013 149
2012 183
2011 179
2010 201
2009 161
2008 175
2007 203
2006 180
2005 113
2004 95
2003 60
2002 24
2001 10
2000 12
1999 12
1998 28
1997 11
1996 16
1995 7
1994 8

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