Filing Details
- Accession Number:
- 0001001250-12-000175
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-26 16:11:40
- Reporting Period:
- 2012-11-21
- Filing Date:
- 2012-11-26
- Accepted Time:
- 2012-11-26 16:11:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1001250 | Estee Lauder Companies Inc | EL | Perfumes, Cosmetics & Other Toilet Preparations (2844) | 112408943 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1008082 | P William Lauder | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | Executive Chairman | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2012-11-21 | 300,000 | $17.50 | 560,489 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2012-11-21 | 300,000 | $19.78 | 860,489 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2012-11-21 | 374,000 | $58.27 | 486,489 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Option (right to buy) | Disposition | 2012-11-21 | 300,000 | $0.00 | 300,000 | $17.50 |
| Class A Common Stock | Option (right to buy) | Disposition | 2012-11-21 | 300,000 | $0.00 | 300,000 | $19.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-09-26 | No | 4 | M | Direct | |
| 0 | 2013-08-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 24,360 | Indirect | 1992 GRAT Remainder Trust f/b/o GML |
| Class A Common Stock | 668,662 | Indirect | 1992 GRAT Remainder Trust f/b/o WPL |
| Class A Common Stock | 10,468 | Indirect | by children of WPL |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 6,525,600 | 6,525,600 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 1,268,304 | 1,268,304 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 45,740 | 45,740 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 6,525,600 | 6,525,600 | Direct | |
| 1,268,304 | 1,268,304 | Indirect | |
| 45,740 | 45,740 | Indirect |
Footnotes
- The 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.
- Sales prices range from $58.05 to $58.62 per share, inclusive.
- Owned by William P. Lauder ("WPL"), indirectly, as a trustee of the 1992 GRAT Remainder Trust f/b/o Gary M. Lauder.
- WPL disclaims beneficial ownership to the extent that he does not have a pecuniary interest in such securities.
- Owned by the 1992 GRAT Remainder Trust f/b/o William P. Lauder ("WPL GRAT Remainder Trust"). Owned by WPL, indirectly, as a trustee of the WPL GRAT Remainder Trust.
- Owned by WPL indirectly, in custody for his children.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 100,000 shares exercisable from and after January 1, 2007; 100,000 shares exercisable from and after January 1, 2008; and 100,000 shares exercisable from and after January 1, 2009. This option was previously reported as covering 50,000 shares exercisable from and after January 1, 2007; 50,000 shares exercisable from and after January 1, 2008; and 50,000 shares exercisable from and after January 1, 2009 at an exercise price of $35.00, but has been adjusted in this report to reflect the stock split that occurred on January 20, 2012.
- Not applicable.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 100,000 shares exercisable from and after January 1, 2008; 100,000 shares exercisable from and after January 1, 2009; and 100,000 shares exercisable from and after January 1, 2010. This option was previously reported as covering 50,000 shares exercisable from and after January 1, 2008; 50,000 shares exercisable from and after January 1, 2009; and 50,000 shares exercisable from and after January 1, 2010 at an exercise price of $39.56, but has been adjusted in this report to reflect the stock split that occurred on January 20, 2012.
- There is no exercise or conversion price for the Class B Common Stock. Shares of Class B Common Stock (i) may be converted immediately on a one-for-one basis by the holder into shares of Class A Common Stock and (ii) are automatically converted into Class A Common Stock on a one-for-one basis upon transfer to a person or entity that is not a "Permitted Transferee" (as defined in the Issuer's Restated Certificate of Incorporation) or soon after a record date for a meeting of stockholders where the outstanding Class B Common Stock constitutes less than 10% of the outstanding shares of Common Stock of the Issuer.
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