SEC Form 4 · accession 0001001250-18-000097

ESTEE LAUDER COMPANIES INC · EL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec. VP and Gen. Counsel

Period of report

Oct 31, 2018

Accepted (ET)

Nov 2, 2018 · 5:04 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 Stock^F1,F2	Oct 31, 2018	M	9,074	$0.00	A	16,235	D
Class A Common Stock	Oct 31, 2018	F	4,831	$140.80	D	11,404	D
Class A Common Stock^F2	Nov 2, 2018	G	3,448	$0.00	D	64,184	I	Through a revocable trust.
Class A Common Stock	holding	—	—		—	7,762	I	Through a grantor retained annuity trust.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units (Share Payout)^F4,F2,F5	$0.00	Oct 31, 2018	M	3,402	D	Oct 31, 2018	Oct 31, 2018	Class A Common Stock	3,402	0	D
Restricted Stock Units (Share Payout)^F4,F2,F6	$0.00	Oct 31, 2018	M	2,981	D	Oct 31, 2018	Oct 31, 2019	Class A Common Stock	2,981	2,981	D
Restricted Stock Units (Share Payout)^F4,F2,F7	$0.00	Oct 31, 2018	M	2,691	D	Oct 31, 2018	Nov 2, 2020	Class A Common Stock	2,691	5,383	D

F1Payout of shares upon vesting of portions of Restricted Stock Units ("RSUs") granted September 4, 2015, September 6, 2016 and September 5, 2017.
F2Not applicable.
F3Represents the withholding of shares for tax purposes.
F4RSUs vest and are paid out in shares of Class A Common Stock on a one-to-one basis on the applicable vesting date. RSUs generally vest in three approximately equal installments. Upon payout, additional shares will be withheld to cover statutory tax obligations. RSUs are accompanied by dividend equivalent rights that will be payable in cash at the time of payout of the related shares.
F5RSUs from grant dated September 4, 2015.
F6RSUs from grant dated September 6, 2016. Assuming continued employment, RSUs will vest and be paid out as follows: 2,981 on October 31, 2019.
F7RSUs from grant dated September 5, 2017. Assuming continued employment, RSUs will vest and be paid out as follows: 2,691 on October 31, 2019; and 2,692 on November 2, 2020.