SEC Form 4 · accession 0001001250-16-000149
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara E Moss
Officer — Exec. VP, Gen. Counsel
Period of report
Feb 5, 2016
Accepted (ET)
Feb 5, 2016 · 4:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001250
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 5, 2016 | M | 29,104 | $59.78 | A | 89,797 | D | |
| Class A Common Stock | Feb 5, 2016 | S | 29,104 | $90.00 | D | 60,693 | D | |
| Class A Common Stock | holding | — | — | — | 12,000 | I | Through a grantor retained annuity trust. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F1,F3,F4 | $59.78 | Feb 5, 2016 | M | 29,104 | D | Jan 1, 2014 | Sep 1, 2022 | Class A Common Stock | 29,104 | 14,552 | D |
Explanation of responses
- F1Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 14,552 shares exercisable from and after January 1, 2014; 14,552 shares exercisable from and after January 1, 2015; and 14,552 shares exercisable from and after January 1, 2016.
- F2The sales of the shares of Class A Common Stock were made pursuant to a plan intended to comply with Rule 10b5-1(c) entered into on November 9, 2015.
- F3Not applicable.
- F4In addition to these shares, the Reporting Person also has options to purchase at various prices 94,100 shares of Class A Common Stock. 44,481 of all options held by the Reporting Person are currently exercisable.