SEC Form 4 · accession 0001001250-17-000111
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard F Zannino
Director
Period of report
Nov 2, 2017
Accepted (ET)
Nov 3, 2017 · 10:20 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 Stock | Nov 2, 2017 | M | 10,000 | $35.51 | A | 14,000 | D | |
| Class A Common Stock | Nov 2, 2017 | M | 4,576 | $57.53 | A | 18,576 | D | |
| Class A Common Stock | Nov 2, 2017 | M | 4,736 | $57.49 | A | 23,312 | D | |
| Class A Common StockF1,F2 | Nov 2, 2017 | S | 19,312 | $119.25 | D | 4,000 | D | |
| Class A Common StockF1,F3 | Nov 2, 2017 | S | 4,000 | $119.13 | 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)F4,F5 | $35.51 | Nov 2, 2017 | M | 10,000 | D | Nov 9, 2011 | Nov 9, 2020 | Class A Common Stock | 10,000 | 0 | D |
| Option (Right to Buy)F4,F5 | $57.53 | Nov 2, 2017 | M | 4,576 | D | Nov 11, 2012 | Nov 11, 2021 | Class A Common Stock | 4,576 | 0 | D |
| Option (Right to Buy)F4,F5 | $57.49 | Nov 2, 2017 | M | 4,736 | D | Nov 9, 2013 | Nov 9, 2022 | Class A Common Stock | 4,736 | 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 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.
- F2Sales prices range from $119.07 to $119.58, inclusive.
- F3Sales prices range from $119.06 to $119.43, inclusive.
- F4Stock Options granted pursuant to the Issuer's Non-Employee Director Share Incentive Plan.
- F5Not applicable.