SEC Form 4 · accession 0001001250-18-000006
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl P. Haney
Officer — EVP-Global R&D
Period of report
Feb 12, 2018
Accepted (ET)
Feb 14, 2018 · 4:54 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 | Feb 12, 2018 | M | 6,525 | $76.23 | A | 6,525 | D | |
| Class A Common StockF2,F3 | Feb 12, 2018 | S | 6,525 | $137.52 | D | 0 | D | |
| Class A Common StockF1 | Feb 14, 2018 | M | 1,525 | $76.23 | A | 1,525 | D | |
| Class A Common StockF4 | Feb 14, 2018 | M | 5,000 | $77.35 | A | 6,525 | D | |
| Class A Common Stock | Feb 14, 2018 | S | 6,525 | $138.00 | 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)F5,F1 | $76.23 | Feb 12, 2018 | M | 6,525 | D | Jan 1, 2016 | Sep 3, 2024 | Class A Common Stock | 6,525 | 1,525 | D |
| Option (Right to Buy)F5,F1 | $76.23 | Feb 14, 2018 | M | 1,525 | D | Jan 1, 2016 | Sep 3, 2024 | Class A Common Stock | 1,525 | 0 | D |
| Option (Right to Buy)F5,F4 | $77.35 | Feb 14, 2018 | M | 5,000 | D | Jan 1, 2017 | Sep 4, 2025 | Class A Common Stock | 5,000 | 21,848 | D |
Explanation of responses
- F1Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,049 shares exercisable from and after January 1, 2016; 8,050 shares exercisable from and after January 1, 2017; 8,050 shares exercisable from and after January 1, 2018.
- F2The number of securities reported represents an aggregated number of shares sold in multiple open market transactions over a range of sales prices. The prcie 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 $137.50 to $137.61, inclusive.
- F4Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,949 shares exercisable from and after January 1, 2017; 8,949 shares exercisable from and after January 1, 2018; 8,950 shares exercisable from and after January 1, 2019.
- F5Not applicable.