SEC Form 4 · accession 0001001250-18-000062
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane Lauder
Director
Period of report
Aug 23, 2018
Accepted (ET)
Aug 23, 2018 · 5:14 pm 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 23, 2018 | M | 8,334 | $26.42 | A | 45,037 | D | |
| Class A Common StockF2 | Aug 23, 2018 | M | 28,000 | $17.00 | A | 73,037 | D | |
| Class A Common StockF3,F4 | Aug 23, 2018 | S | 13,255 | $132.79 | D | 59,782 | D | |
| Class A Common StockF3,F5 | Aug 23, 2018 | S | 23,079 | $133.49 | D | 36,703 | 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 | $26.42 | Aug 23, 2018 | M | 8,334 | D | — | Sep 11, 2018 | Class A Common Stock | 8,334 | 0 | D |
| Option (right to buy)F6,F2 | $17.00 | Aug 23, 2018 | M | 28,000 | D | — | Sep 1, 2019 | Class A Common Stock | 28,000 | 0 | D |
Explanation of responses
- F1Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,334 shares exercisable from and after January 1, 2012. Upon award, this option was reported as covering 4,166 shares exercisable from and after January 1, 2010; 4,167 shares exercisable from and after January 1, 2011; and 4,167 shares exercisable from and after January 1, 2012 at an exercise price of $52.83. The options exercisable as of January 2010 and January 2011 were exercised prior to a stock split that occurred on January 20, 2012. The remaining options, those exercisable as of January 2012, have been adjusted in this report to reflect that stock split.
- F2Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 9,332 shares exercisable from and after January 1, 2011; 9,334 shares exercisable from and after January 1, 2012; and 9,334 shares exercisable from and after January 1, 2013. Upon award, this option was reported as covering 4,666 shares exercisable from and after January 1, 2011; 4,667 shares exercisable from and after January 1, 2012; and 4,667 shares exercisable from and after January 1, 2013 at an exercise price of $34.00, but have been adjusted in this report to reflect the stock split that occurred on January 20, 2012.
- F3The 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.
- F4Sales prices range from $132.13 to $133.12 per share, inclusive.
- F5Sales prices range from $133.13 to $134.06 per share, inclusive.
- F6Not applicable.