SEC Form 4 · accession 0001001250-17-000114
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara E Moss
Officer — Exec. VP, Gen. Counsel
Period of report
Nov 3, 2017
Accepted (ET)
Nov 7, 2017 · 3:03 pm EST
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,F2,F3 | Nov 3, 2017 | S | 4,236 | $121.62 | D | 0 | D | |
| Class A Common StockF4 | Nov 6, 2017 | G | 2,495 | $0.00 | D | 65,814 | I | Through a revocable trust. |
| Class A Common StockF5 | Nov 6, 2017 | M | 29,873 | $67.31 | A | 95,687 | I | Through a revocable trust. |
| Class A Common StockF6,F7 | Nov 6, 2017 | S | 29,873 | $121.16 | D | 65,814 | I | Through a revocable trust. |
| Class A Common Stock | holding | — | — | — | 9,580 | I | Through a grantor retained annuity trust. |
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 | $67.31 | Nov 6, 2017 | M | 29,873 | D | — | Sep 4, 2023 | Class A Common Stock | 29,873 | 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 $121.56 to $121.68 per share, inclusive.
- F3Shares sold previously reported as being indirectly held through a revocable trust.
- F4Not applicable.
- F5Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 9,957 shares exercisable from and after January 1, 2015; 9,958 shares exercisable from and after January 1, 2016; and 9,958 shares exercisable from and after January 1, 2017.
- F6The 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.
- F7Sales prices range from $120.80 to $121.55 per share, inclusive.