Filing Details
- Accession Number:
- 0000909518-10-000320
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-05 13:00:00
- Reporting Period:
- 2010-05-03
- Filing Date:
- 2010-05-05
- Accepted Time:
- 2010-05-05 21:11:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1006352 | A Leonard Lauder | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | Chairman Emeritus | Yes | Yes | Yes | No |
| 1014132 | H Evelyn Lauder | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | Sr. Corporate Vice President | No | Yes | No | 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 | Disposition | 2010-05-03 | 35,000 | $66.04 | 3,265,669 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 33,800 | $64.90 | 3,231,869 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 1,200 | $65.54 | 3,230,669 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-05-03 | 5,000 | $43.69 | 395,000 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-05-03 | 5,000 | $66.04 | 390,000 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-05-04 | 5,000 | $43.69 | 395,000 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 4,900 | $64.90 | 390,100 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 100 | $65.60 | 390,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2010-05-03 | 5,000 | $0.00 | 5,000 | $43.69 |
| Class A Common Stock | Option (right to buy) | Disposition | 2010-05-04 | 5,000 | $0.00 | 5,000 | $43.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | 2010-08-16 | No | 4 | M | Direct | |
| 15,000 | 2010-08-16 | No | 4 | M | Direct |
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 | 40,220 | 40,220 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 40,220 | 40,220 | Indirect |
Footnotes
- Leonard A. Lauder ("LAL") sold shares of Class A Common Stock pursuant to a plan intended to comply with Rule 10b5-1(c), previously entered into on February 3, 2010.
- 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. LAL or Evelyn H. Lauder ("EHL"), as the case may be, undertakes to provide the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by such reporting person at each separate price within the range.
- Sales prices range from $65.73 to $66.34 per share, inclusive.
- Owned by LAL directly. Owned by EHL indirectly, through LAL.
- EHL disclaims beneficial ownership of securities owned by her husband, LAL.
- Sales prices range from $64.50 to $65.49 per share, inclusive.
- Sales prices range from $65.50 to $65.66 per share, inclusive.
- EHL exercised stock options and sold the underlying shares of Class A Common Stock pursuant to a plan intended to comply with Rule 10b5-1(c), previously entered into on November 6, 2009.
- Owned by EHL directly. Owned by LAL indirectly, through EHL.
- LAL disclaims beneficial ownership of securities owned by his wife, EHL.
- Sales prices range from $65.82 to $66.30 per share, inclusive.
- Sales prices range from $64.52 to $65.48 per share, inclusive.
- 8,300 shares exercisable from and after January 1, 2003; 8,300 shares exercisable from and after January 1, 2004; and 8,400 shares exercisable from and after January 1, 2005.
- Not applicable.
- 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 (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.
- Owned by LAL individually as a trustee and beneficiary of The Estee Lauder 2002 Trust. Owned by EHL indirectly, through LAL.
- LAL disclaims beneficial ownership of the shares to the extent that he does not have a pecuniary interest in such securities.
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