Correct cover pagetrue--12-31Q320190000823094SOTHEBYS 0000823094 2019-01-01 2019-09-30 0000823094 2019-11-08 xbrli:shares


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
CONVERTEDSOTHEBYSLOGO37.JPG
(Exact name of registrant as specified in its charter)
Delaware
 
38-2478409
(State or other jurisdiction of
incorporation or organization)
 
(I.R.S. Employer
Identification No.)
 
 
 
1334 York Avenue
 
 
New York,
New York
 
10021
(Address of principal executive offices)
 
(Zip Code)
Registrant's telephone number, including area code: (212) 606-7000
(Former name, former address and former fiscal year, if changed since last report)

Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
N/A
N/A
N/A
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  ☒    No  ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of the Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).    Yes  ☒    No  ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company" and "emerging growth company" in Rule 12b-2 of the Exchange Act.
Large accelerated filer
☒

Accelerated filer
☐


Emerging growth company
☐
Non-accelerated filer
☐

Smaller reporting company
☐
 
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act).    Yes  ☐    No  ☒
As of November 8, 2019, there were 488,926 outstanding shares of common stock, par value $0.01 per share, of the registrant. These shares are no longer publicly traded.





EXPLANATORY NOTE

The purpose of this Amendment No. 1 on Sotheby's Form 10-Q/A for the quarterly period ended September 30, 2019 (the "Form 10-Q") is solely to correct the cover page. The Company no longer has securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934. No other changes have been made to the Form 10-Q.




  
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
     SOTHEBY’S
 
 
 
 
By:
/s/ KEVIN M. DELANEY
 
 
Kevin M. Delaney
 
 
Senior Vice President, Controller and Chief Accounting Officer
Date: November 13, 2019



EXHIBIT INDEX

Exhibit No.    Description

101.INS     XBRL Instance Document - the instance document does not appear in the Interactive Data File because its
XBRL tags are embedded within the Inline XBRL document.

101.SCH     XBRL Taxonomy Extension Schema Document.

101.CAL     XBRL Taxonomy Extension Calculation Linkbase Document.

101.DEF     XBRL Taxonomy Extension Definition Linkbase Document.

101.LAB     XBRL Taxonomy Extension Label Linkbase Document.

101.PRE     XBRL Taxonomy Extension Presentation Linkbase Document.


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