SEC Form 4 · accession 0001001250-16-000167
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexandra C. Trower
Officer — EVP - Global Communications
Period of report
May 5, 2016
Accepted (ET)
May 9, 2016 · 4:36 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 5, 2016 | M | 13,275 | $59.78 | A | 20,637 | D | |
| Class A Common StockF2 | May 5, 2016 | M | 8,133 | $67.31 | A | 28,770 | D | |
| Class A Common StockF3 | May 5, 2016 | M | 8,242 | $76.23 | A | 37,012 | 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)F4,F1 | $59.78 | May 5, 2016 | M | 13,275 | D | Jan 1, 2014 | Sep 4, 2022 | Class A Common Stock | 13,275 | 0 | D |
| Option (right to buy)F4,F2 | $67.31 | May 5, 2016 | M | 8,133 | D | Jan 1, 2015 | Sep 4, 2023 | Class A Common Stock | 8,133 | 8,133 | D |
| Option (right to buy)F4,F5,F3 | $76.23 | May 5, 2016 | M | 8,242 | D | Jan 1, 2016 | Sep 3, 2024 | Class A Common Stock | 8,242 | 16,484 | D |
Explanation of responses
- F1Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 13,274 shares exercisable from and after January 1, 2014; 13,274 shares exercisable from and after January 1, 2015; 13,275 shares exercisable from and after January 1, 2016.
- F2Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,133 shares exercisable from and after January 1, 2015; 8,133 shares exercisable from and after January 1, 2016; 8,133 shares exercisable from and after January 1, 2017.
- F3Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,242 shares exercisable from and after January 1, 2016; 8,242 shares exercisable from and after January 1, 2017; 8,242 shares exercisable from and after January 1, 2018.
- F4Not Applicable
- F5In addition to the remaining options described in the table, the Reporting Person also has options to purchase 27,214 shares of Class A Common Stock at various prices, none of which are exercisable.