CHRISTIE'S INC, NY

Links between entities

Type	Company Name	Company Number	State
Headquarter of	CHRISTIE'S INC.	000-538-031	Alabama
Headquarter of	CHRISTIE'S INC.	1293506	CONNECTICUT
Headquarter of	CHRISTIE'S INC.	0821601	CONNECTICUT
Headquarter of	CHRISTIE'S INC.	0855394	CONNECTICUT
Headquarter of	CHRISTIE'S INC.	20181940040	COLORADO
Headquarter of	CHRISTIE'S INC.	1040542	KENTUCKY
Headquarter of	CHRISTIE'S INC.	CORP_60509484	ILLINOIS

form 5500

Plan Name

Plan Year

EIN/PN

Received

Sponsor

Total number of participants

CHRISTIE'S INC. 401(K) SAVINGS PLAN

2017

132869902

2018-10-15

CHRISTIE'S INC.

1073

File	View Page
Three-digit plan number (PN)	002
Effective date of plan	1989-10-01
Business code	812990
Sponsor’s telephone number	2126362040
Plan sponsor’s mailing address	20 ROCKEFELLER PLAZA, ATTN NATALIE BROWN, NEW YORK, NY, 10020
Plan sponsor’s address	20 ROCKEFELLER PLAZA, ATTN NATALIE BROWN, NEW YORK, NY, 10020

Plan administrator’s name and address

Administrator’s EIN	132869902
Plan administrator’s name	CHRISTIE'S INC.
Plan administrator’s address	20 ROCKEFELLER PLAZA, ATTN NATALIE BROWN, NEW YORK, NY, 10020
Administrator’s telephone number	2126362040

Number of participants as of the end of the plan year

Active participants	657
Retired or separated participants receiving benefits	2
Other retired or separated participants entitled to future benefits	479
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits	0
Number of participants with account balances as of the end of the plan year	1073
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	0

Signature of

Role	Plan administrator
Date	2018-10-15
Name of individual signing	NATALIE BROWN
Valid signature	Filed with authorized/valid electronic signature

Agent

Name	Role	Address
REGISTERED AGENT SOLUTIONS, INC.	Agent	99 WASHINGTON AVENUE, SUITE 700, ALBANY, NY, 12203

Chief Executive Officer

Name	Role	Address
BONNIE BRENNAN	Chief Executive Officer	20 ROCKEFELLER PLAZA, NEW YORK, NY, United States, 10020

DOS Process Agent

Name	Role	Address
REGISTERED AGENT SOLUTIONS, INC.	DOS Process Agent	99 WASHINGTON AVENUE, SUITE 700, ALBANY, NY, United States, 12260

Licenses

Number	Status	Type	Date	End date
1213717-DCA	Inactive	Business	2005-11-01	No data
1155596-DCA	Active	Business	2003-11-07	2025-07-31

History

Start date	End date	Type	Value
2024-08-08	2024-08-27	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2024-08-02	2024-08-08	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2024-08-02	2024-08-02	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2024-07-31	2024-08-02	Address	99 WASHINGTON AVENUE, SUITE 1008, ALBANY, NY, 12203, USA (Type of address: Registered Agent)
2024-07-31	2024-08-02	Address	99 washington avenue, suite 700, ALBANY, NY, 12260, USA (Type of address: Service of Process)
2024-07-31	2024-08-02	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2024-07-31	2024-07-31	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2024-07-31	2024-08-02	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2024-07-17	2024-07-31	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2023-05-10	2024-07-17	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2023-04-19	2023-05-10	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2022-08-05	2023-04-19	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2022-04-23	2022-08-05	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2021-12-09	2022-04-23	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2021-12-02	2021-12-09	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
2021-02-04	2024-07-31	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2016-09-07	2021-02-04	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2013-02-13	2024-07-31	Address	99 WASHINGTON AVENUE, SUITE 1008, ALBANY, NY, 12203, USA (Type of address: Registered Agent)
2013-02-13	2024-07-31	Address	99 WASHINGTON AVENUE, SUITE 1008, ALBANY, NY, 12260, USA (Type of address: Service of Process)
2012-08-21	2016-09-07	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2007-02-13	2013-02-13	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Registered Agent)
2004-06-16	2012-08-21	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Chief Executive Officer)
2000-10-31	2013-02-13	Address	20 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, USA (Type of address: Service of Process)
1998-09-01	2004-06-16	Address	502 PARK AVE, 6TH FL, NEW YORK, NY, 10022, USA (Type of address: Principal Executive Office)
1998-09-01	2004-06-16	Address	502 PARK AVE, 6TH FL, NEW YORK, NY, 10022, USA (Type of address: Chief Executive Officer)
1995-07-14	1998-09-01	Address	502 PARK AVE, 5TH FL, NEW YORK, NY, 10022, USA (Type of address: Chief Executive Officer)
1995-07-14	1998-09-01	Address	502 PARK AVE, 5TH FL, NEW YORK, NY, 10022, USA (Type of address: Principal Executive Office)
1995-07-14	2000-10-31	Address	GENEREAL COUNSEL, 502 PARK AVE 5TH FL, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
1995-04-18	2021-12-02	Shares	Share type: NO PAR VALUE, Number of shares: 1200, Par value: 0
1989-04-18	1995-07-14	Address	502 PARK AVENUE, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
1989-04-18	2007-02-13	Address	INT'L, INC.; P HAMBRECHT, 502 PARK AVENUE, NEW YORK, NY, 10022, USA (Type of address: Registered Agent)
1982-10-20	1989-04-18	Address	437 MADISON AVE, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
1981-07-27	1982-10-20	Address	26 BROADWAY, NEW YORK, NY, 10004, USA (Type of address: Service of Process)
1976-08-18	1995-04-18	Shares	Share type: NO PAR VALUE, Number of shares: 200, Par value: 0
1976-08-18	1981-07-27	Address	CAHILL, 655 MADIAON AVE, NEW YORK, NY, 10021, USA (Type of address: Service of Process)

Filings

Filing Number	Date Filed	Type	Effective Date
240802000915	2024-08-02	BIENNIAL STATEMENT	2024-08-02
240731003108	2024-07-17	CERTIFICATE OF CHANGE BY AGENT	2024-07-17
220811000615	2022-08-11	BIENNIAL STATEMENT	2022-08-01
210204060723	2021-02-04	BIENNIAL STATEMENT	2020-08-01
181213006518	2018-12-13	BIENNIAL STATEMENT	2018-08-01
160907006968	2016-09-07	BIENNIAL STATEMENT	2016-08-01
20160125068	2016-01-25	ASSUMED NAME CORP INITIAL FILING	2016-01-25
140917002054	2014-09-17	BIENNIAL STATEMENT	2014-08-01
130213000267	2013-02-13	CERTIFICATE OF CHANGE	2013-02-13
120821002442	2012-08-21	BIENNIAL STATEMENT	2012-08-01
100817002854	2010-08-17	BIENNIAL STATEMENT	2010-08-01
080811002792	2008-08-11	BIENNIAL STATEMENT	2008-08-01
070213000613	2007-02-13	CERTIFICATE OF CHANGE	2007-02-13
060815003007	2006-08-15	BIENNIAL STATEMENT	2006-08-01
040816002354	2004-08-16	BIENNIAL STATEMENT	2004-08-01
040616002332	2004-06-16	BIENNIAL STATEMENT	2002-08-01
001031000245	2000-10-31	CERTIFICATE OF CHANGE	2000-10-31
000824002285	2000-08-24	BIENNIAL STATEMENT	2000-08-01
980901002396	1998-09-01	BIENNIAL STATEMENT	1998-08-01
971029002662	1997-10-29	BIENNIAL STATEMENT	1996-08-01
950714002330	1995-07-14	BIENNIAL STATEMENT	1993-08-01
950418000355	1995-04-18	CERTIFICATE OF AMENDMENT	1995-04-18
950413000249	1995-04-13	CERTIFICATE OF AMENDMENT	1995-04-13
C000018-3	1989-04-18	CERTIFICATE OF AMENDMENT	1989-04-18
A912753-4	1982-10-20	CERTIFICATE OF AMENDMENT	1982-10-20
A784718-3	1981-07-27	CERTIFICATE OF AMENDMENT	1981-07-27
A336829-8	1976-08-18	CERTIFICATE OF INCORPORATION	1976-08-18

Inspections

Date	Inspection Object	Address	Grade	Type	Institution	Desctiption
2020-12-09	No data	20 ROCKEFELLER PLZ, Manhattan, NEW YORK, NY, 10020	Violation Issued	Inspectorate of the Department of Consumer and Workers' Rights Protection	Department of Consumer and Worker Protection	No data

Complaints

Start date	End date	Type	Satisafaction	Restitution	Result
2017-02-07	2017-03-30	Misrepresentation	No	0.00	No Satisfactory Agreement
2014-11-18	2015-01-05	Misrepresentation	No	0.00	Advised to Sue

Fine And Fees

Fee Sequence Id	Fee type	Status	Date	Amount	Description
3667955	RENEWAL	INVOICED	2023-07-10	340	Secondhand Dealer General License Renewal Fee
3353946	RENEWAL	INVOICED	2021-07-27	340	Secondhand Dealer General License Renewal Fee
3316014	LL VIO	INVOICED	2021-04-07	500	LL - License Violation
3306069	LL VIO	VOIDED	2021-03-04	1000	LL - License Violation
3269346	LL VIO	VOIDED	2020-12-14	500	LL - License Violation
3180712	RENEWAL	INVOICED	2020-05-28	400	Auction House Premises License Renewal Fee
3088924	RENEWAL	INVOICED	2019-09-24	340	Secondhand Dealer General License Renewal Fee
3064279	DCA-SUS	CREDITED	2019-07-22	290	Suspense Account
3064278	PROCESSING	INVOICED	2019-07-22	50	License Processing Fee
3048260	RENEWAL	CREDITED	2019-06-19	340	Secondhand Dealer General License Renewal Fee
2957291	DCA-SUS	CREDITED	2019-01-04	2000	Suspense Account
2944669	CL VIO	INVOICED	2018-12-14	110020	CL - Consumer Law Violation
2944668	LL VIO	INVOICED	2018-12-14	110020	LL - License Violation
2787355	RENEWAL	INVOICED	2018-05-08	400	Auction House Premises License Renewal Fee
2637164	RENEWAL	INVOICED	2017-07-06	340	Secondhand Dealer General License Renewal Fee
2347736	RENEWAL	INVOICED	2016-05-17	400	Auction House Premises License Renewal Fee
2097677	RENEWAL	INVOICED	2015-06-05	340	Secondhand Dealer General License Renewal Fee
1689520	RENEWAL	INVOICED	2014-05-23	400	Auction House Premises License Renewal Fee
670673	RENEWAL	INVOICED	2013-05-22	340	Secondhand Dealer General License Renewal Fee
670674	CNV_TFEE	INVOICED	2013-05-22	8.470000267028809	WT and WH - Transaction Fee
755448	RENEWAL	INVOICED	2012-05-21	400	Auction House Premises License Renewal Fee
325230	CNV_SI	INVOICED	2011-07-26	20	SI - Certificate of Inspection fee (scales)
670670	RENEWAL	INVOICED	2011-05-26	340	Secondhand Dealer General License Renewal Fee
755449	RENEWAL	INVOICED	2010-06-10	400	Auction House Premises License Renewal Fee
670671	RENEWAL	INVOICED	2009-08-03	340	Secondhand Dealer General License Renewal Fee
711993	CNV_MS	INVOICED	2008-09-03	15	Miscellaneous Fee
755450	RENEWAL	INVOICED	2008-07-28	400	Auction House Premises License Renewal Fee
711995	FINGERPRINT	INVOICED	2008-05-30	75	Fingerprint Fee
711994	FINGERPRINT	INVOICED	2008-05-30	75	Fingerprint Fee
670672	RENEWAL	INVOICED	2007-05-31	340	Secondhand Dealer General License Renewal Fee
755451	RENEWAL	INVOICED	2006-06-09	400	Auction House Premises License Renewal Fee
711996	LICENSE	INVOICED	2005-11-02	200	Auction House Premises License Fee
711997	FINGERPRINT	INVOICED	2005-11-01	75	Fingerprint Fee
670675	RENEWAL	INVOICED	2005-07-15	340	Secondhand Dealer General License Renewal Fee
579210	LICENSE	INVOICED	2003-11-28	340	Secondhand Dealer General License Fee
579211	FINGERPRINT	INVOICED	2003-11-07	75	Fingerprint Fee
579213	FINGERPRINT	INVOICED	2003-11-07	75	Fingerprint Fee
579212	FINGERPRINT	INVOICED	2003-11-07	75	Fingerprint Fee

Issued Charges

Date	Outcome	Charge	Charge count	Counts sellted	Counts guilty	Counts not guilty
2020-12-09	Pleaded	RECORDS ARE NOT AVAILABLE FOR INSPECTION	1	1	No data	No data
2020-12-09	Pleaded	FAILED TO KEEP ELECTONIC RECORDS OF PURCHASES AND SALES	1	1	No data	No data
2018-12-14	Settlement (Pre-Hearing)	ENGAGED in unfair or deceptive or unconscionable trade practice in the sale, lease, rental or loan or offering of any consumer goods or services, or in the collection of consumer debts.	1	1	No data	No data
2018-12-14	Settlement (Pre-Hearing)	UNTRUTHFUL STATEMENTS RE: AUCTION	1	1	No data	No data

Name:	CHRISTIE'S INC.
Jurisdiction:	New York
Legal type:	DOMESTIC BUSINESS CORPORATION
Status:	Active
Date of registration:	18 Aug 1976 (48 years ago)
Entity Number:	407825
County:	New York
Place of Formation:	New York
Address:	99 WASHINGTON AVENUE, SUITE 700, ALBANY, NY, United States, 12260
Address ZIP Code:
Principal Address:	20 ROCKEFELLER PLAZA, NEW YORK, NY, United States, 10020
Principal Address ZIP Code: