SEC Form 4 · accession 0001001250-16-000253
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
Nov 11, 2016
Accepted (ET)
Nov 14, 2016 · 5:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001250
Table I — non-derivative securities
No Table I lines on this filing.
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) | $78.36 | Nov 11, 2016 | A | 4,697 | A | Nov 11, 2017 | Nov 11, 2026 | Class A Common Stock | 4,697 | 4,697 | D |
| Stock Units (Share Payout)F2,F3 | — | Nov 11, 2016 | A | 889 | A | — | — | Class A Common Stock | 889 | 19,862 | D |
| Stock Units (Cash Payout)F4,F6 | — | Nov 11, 2016 | A | 597 | A | — | — | Class A Common Stock | 597 | 72,396 | D |
Explanation of responses
- F1Granted pursuant to the Issuer's Amended and Restated Non-Employee Director Share Incentive Plan.
- F2Each stock unit (share payout) is convertible into one share of Class A Common Stock (i.e. 1:1).
- F3The stock units (share payout) will be paid out the first business day of the calendar year following the last date of the Reporting Person's service as a director of the Company.
- F4Each stock unit (cash payout) is convertible into cash equal to the value of one share of Class A Common Stock (i.e. 1:1).
- F5Reflects grant of stock units in lieu of cash for quarterly board and committee retainers, as well as annual chairmanship fee.
- F6The stock units (cash payout) will be paid out the first business day of the calendar year following the last date of the Reporting Person's service as a director of the Company.