SEC Form 4 · accession 0001001250-16-000166
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Demsey
Officer — Group President
Period of report
May 4, 2016
Accepted (ET)
May 5, 2016 · 4:19 pm EDT
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 | May 4, 2016 | M | 31,982 | $59.78 | A | 94,525 | D | |
| Class A Common StockF2 | May 4, 2016 | M | 21,010 | $67.31 | A | 115,535 | D | |
| Class A Common StockF3 | May 4, 2016 | M | 23,304 | $76.23 | A | 138,839 | D | |
| Class A Common StockF4,F5 | May 4, 2016 | S | 138,541 | $92.40 | D | 298 | D | |
| Class A Common StockF4,F6 | May 4, 2016 | S | 298 | $93.07 | D | 0 | D |
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)F7,F1 | $59.78 | May 4, 2016 | M | 31,982 | D | Jan 1, 2014 | Sep 4, 2022 | Class A Common Stock | 31,982 | 0 | D |
| Option (right to buy)F7,F2 | $67.31 | May 4, 2016 | M | 21,010 | D | Jan 1, 2015 | Sep 4, 2023 | Class A Common Stock | 21,010 | 21,010 | D |
| Option (right to buy)F7,F8,F3 | $76.23 | May 4, 2016 | M | 23,304 | D | Jan 1, 2016 | Sep 3, 2024 | Class A Common Stock | 23,304 | 46,609 | D |
Explanation of responses
- F1Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 31,982 shares exercisable from and after January 1, 2014; 31,982 shares exercisable from and after January 1, 2015; 31,982 shares exercisable from and after January 1, 2016.
- F2Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 21,009 shares exercisable from and after January 1, 2015; 21,010 shares exercisable from and after January 1, 2016; 21,010 shares exercisable from and after January 1, 2017.
- F3Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 23,304 shares exercisable from and after January 1, 2016; 23,304 shares exercisable from and after January 1, 2017; 23,305 shares exercisable from and after January 1, 2018.
- F4The number of securities reported represents an aggregated number of shares sold in multiple open market transactions over a range of sales prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range.
- F5Sales prices range from $92.02 to $93.00.
- F6Sales prices range from $93.06 to $93.07.
- F7Not Applicable
- F8In addition to the remaining options described in the table, the Reporting Person also has options to purchase at various prices 150,193 shares of Class A Common Stock, none of which are currently exercisable.