Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Doma Holdings, Inc.CAP · Entity 85310 | Director | December 04, 2020 | December 08, 2020 |
| LINDBLAD EXPEDITIONS HOLDINGS, INC.LIND · Entity 1943 | Director | August 08, 2026 | August 11, 2026 |
| Trailblazer Acquisition Corp.BLZR · Entity 5782 | Director | September 09, 2025 | September 10, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Doma Holdings, Inc.
Report date December 04, 2020 · Filed December 08, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | Direct | 133,333 |
Reported balance
After 2020-12-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-04 · Purchase · Acquired 133,333 · Balance 133,333 F1: The warrants will become exercisable commencing on the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business combination, and will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. |
Filing footnotes · ownership attribution and instrument terms
F1: The warrants will become exercisable commencing on the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business combination, and will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.
LINDBLAD EXPEDITIONS HOLDINGS, INC.
Report date August 08, 2026 · Filed August 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted StockSEC Table I · non-derivative | Direct | 48,728 |
Reported balance
After 2026-08-08 transaction · row 1
1 source rowRow 1 · 2026-08-08 · Grant · Acquired 3,240 · Balance 48,728 F1: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.
Trailblazer Acquisition Corp.
Report date September 09, 2025 · Filed September 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2025-09-09 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the Issuer's Registration Statement on Form S-1, as amended (File No. 333-288651), under the heading "Description of Securities - Founder Shares," Class B ordinary shares will automatically convert into Class A ordinary shares of the Issuer in connection with the consummation of the Issuer's initial business combination or earlier at the option of the Reporting Person on a one-for-one basis, subject to adjustment for share subdivisions, share capitalizations, reorganizations, recapitalizations and the like, and subject to further adjustment as provided therein |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the Issuer's Registration Statement on Form S-1, as amended (File No. 333-288651), under the heading "Description of Securities - Founder Shares," Class B ordinary shares will automatically convert into Class A ordinary shares of the Issuer in connection with the consummation of the Issuer's initial business combination or earlier at the option of the Reporting Person on a one-for-one basis, subject to adjustment for share subdivisions, share capitalizations, reorganizations, recapitalizations and the like, and subject to further adjustment as provided therein
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SOTHEBYS
Report date October 03, 2019 · Filed October 04, 2019
Section 16 reporting ended · disclosed 2019-10-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-03 transaction · row 1
1 source rowRow 1 · 2019-10-03 · Disposition to issuer · Disposed 243,667 · Balance 0 F1: This amount includes 51,168 shares acquired upon vesting and settlement of Performance Share Units ("Company Share Price PSUs"), which were subject to performance conditions based on the price of a share of the Issuer's Common Stock. Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer (the "Merger Agreement"), each Company Share Price PSU was canceled and converted into the right to receive an amount in cash equal to the number of shares of Issuer's Common Stock earned in accordance with the terms and conditions set forth in the award agreement for the Company Share Price PSUs as reasonably determined by the Company's Compensation Committee multiplied by $57 a share (the "Merger Consideration"). F2: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. |
| Common StockSEC Table I · non-derivative | IndirectBy wife as UTMA custodian for daughter | 0 |
Reported balance
After 2019-10-03 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-10-03 · Disposition to issuer · Disposed 5,610 · Balance 0 F2: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. |
| Common StockSEC Table I · non-derivative | IndirectBy wife as UTMA custodian for son | 0 |
Reported balance
After 2019-10-03 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-10-03 · Disposition to issuer · Disposed 11,130 · Balance 0 F2: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 51,168 shares acquired upon vesting and settlement of Performance Share Units ("Company Share Price PSUs"), which were subject to performance conditions based on the price of a share of the Issuer's Common Stock. Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer (the "Merger Agreement"), each Company Share Price PSU was canceled and converted into the right to receive an amount in cash equal to the number of shares of Issuer's Common Stock earned in accordance with the terms and conditions set forth in the award agreement for the Company Share Price PSUs as reasonably determined by the Company's Compensation Committee multiplied by $57 a share (the "Merger Consideration").
F2: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 08, 2026 Filed Aug 11, 2026 21:41 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock | 3,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000897069-26-001625 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,728 F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. Read SEC document |
| March 09, 2026 Filed Mar 11, 2026 22:01 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleRestricted Stock | 56,000 | $17.57 | $983,796.80 |
DisclosureSEC source: 0000897069-26-000681 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,488 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.06 to $17.86, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| August 08, 2025 Filed Aug 12, 2025 21:59 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock | 8,899 | $12.36 | $109,991.64 |
DisclosureSEC source: 0000897069-25-001303 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,488 F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. Read SEC document |
| August 08, 2024 Filed Aug 9, 2024 21:12 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock | 14,647 | $7.51 | $109,998.97 |
DisclosureSEC source: 0000897069-24-001668 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,589 F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. Read SEC document |
| November 22, 2023 Filed Nov 27, 2023 21:42 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleCommon Stock | 23,796 | $7.51 | $178,738.89 |
DisclosureSEC source: 0000897069-23-001662 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,942 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $7.4000 to $7.7505, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| August 08, 2023 Filed Aug 10, 2023 21:43 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock | 8,276 | $0.00 | $0.00 |
DisclosureSEC source: 0000897069-23-001155 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,738 F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 20:40 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleCommon Stock | 75,000 | $10.04 | $753,000.00 |
DisclosureSEC source: 0001567619-22-016538 · doc1.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,462 Read SEC document |
| August 18, 2022 Filed Aug 22, 2022 20:40 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleCommon Stock | 15,000 | $11.29 | $169,350.00 |
DisclosureSEC source: 0001567619-22-016538 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,462 Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 23:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock | 9,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-015381 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,462 F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. Read SEC document |
| August 08, 2021 Filed Aug 10, 2021 20:21 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock Units | 5,655 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-014900 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,847 F1 · kind: Restricted stock units granted under the Long-Term Incentive Plan. The restricted stock units vest, subject to the Reporting Person's continued service with the Company on the vesting date. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 20:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleCommon Stock | 55,000 | $17.15 | $943,250.00 |
DisclosureSEC source: 0001567619-21-011775 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,192 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.85 to $17.30, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| June 03, 2021 Filed Jun 4, 2021 20:34 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | SaleCommon Stock | 55,124 | $17.34 | $955,850.16 |
DisclosureSEC source: 0001567619-21-011715 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,192 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.91 to $17.68, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 22:01 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 1,645 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-000310 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,316 F1 · kind: Restricted stock granted under the 2015 Long-Term Incentive Plan. The restricted stock vests in full on August 8, 2021, subject to the Reporting Person's continued service with the Company on the vesting date Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 17:24 UTC | Doma Holdings, Inc. CAP · Entity 85310 | PurchaseWarrants · Derivative | 133,333 | $1.50 Strike: $11.50 | $199,999.50 |
DisclosureSEC source: 0001213900-20-041652 · ownership.xml · derivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,333 Underlying: Class A Common Stock · 133,333 shares Expires not disclosed F1 · derivative.exercise_date: The warrants will become exercisable commencing on the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business combination, and will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F1 · derivative.expiration_date: The warrants will become exercisable commencing on the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business combination, and will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 21:05 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 3,349 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-017503 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,671 F1 · kind: Restricted stock granted under the 2015 Long-Term Incentive Plan. The restricted stock vests in full on September 30, 2021, subject to the Reporting Person's continued service with the Company on the vesting date Read SEC document |
| September 04, 2020 Filed Sep 4, 2020 21:10 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 338 | $11.42 | $3,859.96 |
DisclosureSEC source: 0001567619-20-016495 · doc1.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,322 F2 · price: This transaction was executed in multiple trades at prices ranging from $11.2381 to $11.5897. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 21:10 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 214,952 | $11.07 | $2,379,518.64 |
DisclosureSEC source: 0001567619-20-016495 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,984 F1 · price: This transaction was executed in multiple trades at prices ranging from $10.33 to $11.38. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 20:16 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 54,500 | $10.14 | $552,630.00 |
DisclosureSEC source: 0001567619-20-016417 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,032 F1 · price: This transaction was executed in multiple trades at prices ranging from $9.89 to $10.29. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 08, 2020 Filed Aug 11, 2020 20:35 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 3,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-014744 · doc1.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,532 F1 · kind: Restricted stock granted under the 2015 Long-Term Incentive Plan. The restricted stock vests in full on August 8, 2021, subject to the Reporting Person's continued service with the Company on the vesting date. Read SEC document |
| October 03, 2019 Filed Oct 4, 2019 12:41 UTC | SOTHEBYS BID · Entity 154560 | Disposition to issuerCommon Stock | 11,130 | $57.00 | $634,410.00 |
DisclosureSEC source: 0001127602-19-030126 · form4.xml · nonDerivative · entry 3 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife as UTMA custodian for son Disclosed balance after: 0 F2 · price: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. Read SEC document |
| October 03, 2019 Filed Oct 4, 2019 12:41 UTC | SOTHEBYS BID · Entity 154560 | Disposition to issuerCommon Stock | 5,610 | $57.00 | $319,770.00 |
DisclosureSEC source: 0001127602-19-030126 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife as UTMA custodian for daughter Disclosed balance after: 0 F2 · price: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. Read SEC document |
| October 03, 2019 Filed Oct 4, 2019 12:41 UTC | SOTHEBYS BID · Entity 154560 | Disposition to issuerCommon Stock | 243,667 | $57.00 | $13,889,019.00 |
DisclosureSEC source: 0001127602-19-030126 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: This amount includes 51,168 shares acquired upon vesting and settlement of Performance Share Units ("Company Share Price PSUs"), which were subject to performance conditions based on the price of a share of the Issuer's Common Stock. Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer (the "Merger Agreement"), each Company Share Price PSU was canceled and converted into the right to receive an amount in cash equal to the number of shares of Issuer's Common Stock earned in accordance with the terms and conditions set forth in the award agreement for the Company Share Price PSUs as reasonably determined by the Company's Compensation Committee multiplied by $57 a share (the "Merger Consideration"). F2 · price: Pursuant to the Merger Agreement, each share of the Issuer's Common Stock held by the reporting person was converted into the right to receive the Merger Consideration at the effective time of the merger. The Company Share Price PSUs shall be payable within ten (10) business days following the effective time of the merger. Read SEC document |
| March 31, 2019 Filed Apr 1, 2019 17:27 UTC | SOTHEBYS BID · Entity 154560 | Exercise / conversionRestricted Stock Units · Derivative | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-19-013888 · form4.xml · derivative · entry 5 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,829 Underlying: Common Stock · 15,828 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.exercise_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.expiration_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| March 31, 2019 Filed Apr 1, 2019 17:27 UTC | SOTHEBYS BID · Entity 154560 | Tax withholdingCommon Stock | 7,383 | $37.75 | $278,708.25 |
DisclosureSEC source: 0001127602-19-013888 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,499 Read SEC document |
| March 31, 2019 Filed Apr 1, 2019 17:27 UTC | SOTHEBYS BID · Entity 154560 | Exercise / conversionCommon Stock | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-19-013888 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,882 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| March 05, 2019 Filed Mar 6, 2019 17:37 UTC | SOTHEBYS BID · Entity 154560 | Tax withholdingCommon Stock | 47,099 | $40.00 | $1,883,960.00 |
DisclosureSEC source: 0001127602-19-010324 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,054 Read SEC document |
| March 05, 2019 Filed Mar 6, 2019 17:37 UTC | SOTHEBYS BID · Entity 154560 | GrantCommon Stock | 96,178 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-19-010324 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,153 F1 · shares: Performance share units that have vested and are settled in common stock as a result of the achievement of all or partial financial target. F1 · price: Performance share units that have vested and are settled in common stock as a result of the achievement of all or partial financial target. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 12:09 UTC | SOTHEBYS BID · Entity 154560 | PurchaseCommon Stock | 15,250 | $40.96 | $624,615.60 |
DisclosureSEC source: 0001127602-18-034650 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,975 F1 · kind: The Reporting Person made a charitable gift of 15,250 shares of Sotheby's common stock, and then purchased the same number of shares in the open market on the same day so as to retain his prior overall level of investment in the Company. F2 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $40.73 to $41.11, inclusive. If requested, the Reporting Person will supply the SEC, the Issuer or a security holder of the Issuer full details regarding the number of shares bought at each price. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 12:09 UTC | SOTHEBYS BID · Entity 154560 | GiftCommon Stock | 15,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-034650 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,725 F1 · kind: The Reporting Person made a charitable gift of 15,250 shares of Sotheby's common stock, and then purchased the same number of shares in the open market on the same day so as to retain his prior overall level of investment in the Company. Read SEC document |
| November 12, 2018 Filed Nov 13, 2018 10:21 UTC | SOTHEBYS BID · Entity 154560 | OtherCommon Stock | 490 | $40.82 | $19,999.84 |
DisclosureSEC source: 0001127602-18-032742 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,975 F1 · kind: The Reporting Person transferred shares of common stock from a Uniform Transfers to Minors Act account held by his wife as custodian for the benefit of his minor son that the Reporting Person is deemed to indirectly beneficially own to an account the Reporting Person directly owns, in exchange for a payment of $20,000 into the UTMA account (the equivalent of $40.816 per share) in order to diversify the UTMA account. F1 · price: The Reporting Person transferred shares of common stock from a Uniform Transfers to Minors Act account held by his wife as custodian for the benefit of his minor son that the Reporting Person is deemed to indirectly beneficially own to an account the Reporting Person directly owns, in exchange for a payment of $20,000 into the UTMA account (the equivalent of $40.816 per share) in order to diversify the UTMA account. Read SEC document |
| November 12, 2018 Filed Nov 13, 2018 10:21 UTC | SOTHEBYS BID · Entity 154560 | OtherCommon Stock | 490 | $40.82 | $19,999.84 |
DisclosureSEC source: 0001127602-18-032742 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife as UTMA custodian for son Disclosed balance after: 11,130 F1 · kind: The Reporting Person transferred shares of common stock from a Uniform Transfers to Minors Act account held by his wife as custodian for the benefit of his minor son that the Reporting Person is deemed to indirectly beneficially own to an account the Reporting Person directly owns, in exchange for a payment of $20,000 into the UTMA account (the equivalent of $40.816 per share) in order to diversify the UTMA account. F1 · price: The Reporting Person transferred shares of common stock from a Uniform Transfers to Minors Act account held by his wife as custodian for the benefit of his minor son that the Reporting Person is deemed to indirectly beneficially own to an account the Reporting Person directly owns, in exchange for a payment of $20,000 into the UTMA account (the equivalent of $40.816 per share) in order to diversify the UTMA account. Read SEC document |
| March 31, 2018 Filed Apr 2, 2018 16:17 UTC | SOTHEBYS BID · Entity 154560 | Exercise / conversionRestricted Stock Units · Derivative | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-013278 · form4.xml · derivative · entry 3 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,657 Underlying: Common Stock · 15,828 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.exercise_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.expiration_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| March 31, 2018 Filed Apr 2, 2018 16:17 UTC | SOTHEBYS BID · Entity 154560 | Tax withholdingCommon Stock | 7,370 | $51.33 | $378,302.10 |
DisclosureSEC source: 0001127602-18-013278 · form4.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,715 Read SEC document |
| March 31, 2018 Filed Apr 2, 2018 16:17 UTC | SOTHEBYS BID · Entity 154560 | Exercise / conversionCommon Stock | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-013278 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,085 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| March 31, 2018 Filed Nov 13, 2018 09:42 UTC Amendment | SOTHEBYS BID · Entity 154560 | Exercise / conversionRestricted Stock Units · Derivative | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-032720 · form4a.xml · derivative · entry 5 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,657 Underlying: Common Stock · 15,828 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.exercise_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · derivative.expiration_date: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| March 31, 2018 Filed Nov 13, 2018 09:42 UTC Amendment | SOTHEBYS BID · Entity 154560 | Tax withholdingCommon Stock | 7,370 | $51.33 | $378,302.10 |
DisclosureSEC source: 0001127602-18-032720 · form4a.xml · nonDerivative · entry 2 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,485 Read SEC document |
| March 31, 2018 Filed Nov 13, 2018 09:42 UTC Amendment | SOTHEBYS BID · Entity 154560 | Exercise / conversionCommon Stock | 15,828 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-032720 · form4a.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,855 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. F1 · price: Restricted stock units that have vested and converted into common stock on a one-for-one basis. Restricted stock units vest over a three year period in three equal annual increments. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 09:30 UTC | SOTHEBYS BID · Entity 154560 | Tax withholdingCommon Stock | 41,155 | $44.87 | $1,846,624.85 |
DisclosureSEC source: 0001127602-17-026999 · form4.xml · nonDerivative · entry 1 Smith, Jr. Thomas S. · CIK 0001601765 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,257 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.