SEC Form 4 · accession 0001001250-17-000059
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fabrizio Freda
Officer — President and CEO · Director
Period of report
Aug 22, 2017
Accepted (ET)
Aug 23, 2017 · 10:29 am 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 | Aug 22, 2017 | M | 300,000 | $17.00 | A | 373,174 | D | |
| Class A Common StockF2,F3 | Aug 22, 2017 | S | 153,018 | $105.21 | D | 220,156 | D | |
| Class A Common StockF2,F4 | Aug 22, 2017 | S | 141,082 | $106.32 | D | 79,074 | D | |
| Class A Common StockF2,F5 | Aug 22, 2017 | S | 5,900 | $107.14 | D | 73,174 | 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)F6,F1 | $17.00 | Aug 22, 2017 | M | 300,000 | D | Jan 1, 2011 | Sep 2, 2019 | Class A Common Stock | 300,000 | 54,610 | D |
Explanation of responses
- F1Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 118,202 shares exercisable from and after January 1, 2011; 118,204 shares exercisable from and after January 1, 2012; 118,204 shares exercisable from and after January 1, 2013. This option was previously reported as covering 59,101 shares exercisable from and after January 1, 2011; 59,102 shares exercisable from and after January 1, 2012; and 59,102 shares exercisable from and after January 1, 2013 at an exercise price of $34.00 per share, but has been adjusted in this report to reflect the stock split that occurred on January 20, 2012.
- F2The 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 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.
- F3Sales prices range from $104.91 to $105.88 per share, inclusive.
- F4Sales prices range from $105.96 to $106.94 per share, inclusive.
- F5Sales prices range from $106.96 to $107.58 per share, inclusive.
- F6Not applicable.