SEC Form 4 · accession 0001001250-16-000168
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Irvine O Hockaday Jr.
Director
Period of report
May 10, 2016
Accepted (ET)
May 11, 2016 · 4:00 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 Stock | May 10, 2016 | M | 4,576 | $57.53 | A | 35,116 | D | |
| Class A Common Stock | May 10, 2016 | M | 4,736 | $57.49 | A | 39,852 | D | |
| Class A Common Stock | May 10, 2016 | M | 3,813 | $70.68 | A | 43,665 | D | |
| Class A Common StockF1,F2 | May 10, 2016 | S | 13,125 | $94.94 | D | 30,540 | 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)F3,F4 | $57.53 | May 10, 2016 | M | 4,576 | D | Nov 11, 2012 | Nov 11, 2021 | Class A Common Stock | 4,576 | 0 | D |
| Option (Right to Buy)F3,F4 | $57.49 | May 10, 2016 | M | 4,736 | D | Nov 9, 2013 | Nov 9, 2022 | Class A Common Stock | 4,736 | 0 | D |
| Option (Right to Buy)F3,F4,F5 | $70.68 | May 10, 2016 | M | 3,813 | D | Nov 12, 2014 | Nov 12, 2023 | Class A Common Stock | 3,813 | 0 | D |
Explanation of responses
- F1The number of securities reported represents an aggregate 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 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.
- F2Sales prices range from $94.75 to $95.13 per share, inclusive.
- F3Stock Options granted pursuant to the Issuer's Non-Employee Director Share Incentive Plan.
- F4Not applicable.
- F5The Reporting Person also has options to purchase at various prices 8,346 shares of Class A Common Stock, of which 4,374 are exercisable.