Filing Details
- Accession Number:
- 0000909518-10-000319
- 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 21:07:34
- 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 |
| 1008088 | M Gary Lauder | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | No | No | Yes | No | |
| 1260297 | Lauder Gary Fbo Trust Remainder Grat 1992 | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | No | No | Yes | Yes | |
| 1260298 | Lauder William Fbo Trust Remainder Grat 1992 | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | No | No | Yes | Yes |
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 | 1,308,846 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 34,000 | $64.90 | 1,274,846 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 1,000 | $65.56 | 1,273,846 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-04-29 | 146,125 | $0.00 | 1,134,331 | No | 5 | G | Direct | |
| Class A Common Stock | Disposition | 2010-05-03 | 20,000 | $66.04 | 1,114,331 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 19,300 | $64.90 | 1,095,031 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 700 | $65.56 | 1,094,331 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-04-29 | 146,125 | $0.00 | 58,811 | No | 5 | G | Direct | |
| Class A Common Stock | Acquisiton | 2010-05-03 | 10,000 | $43.69 | 68,811 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-05-03 | 10,000 | $66.04 | 58,811 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-05-04 | 10,000 | $43.69 | 68,811 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 9,800 | $64.90 | 59,011 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-05-04 | 200 | $65.61 | 58,811 | 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 | 5 | G | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | 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 | 10,000 | $0.00 | 10,000 | $43.69 |
| Class A Common Stock | Option (right to buy) | Disposition | 2010-05-04 | 10,000 | $0.00 | 10,000 | $43.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 90,000 | 2010-08-16 | No | 4 | M | Direct | |
| 80,000 | 2010-08-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 5,234 | 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 | 634,152 | 634,152 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 3,262,800 | 3,262,800 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 22,870 | 22,870 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 634,152 | 634,152 | Direct | |
| 3,262,800 | 3,262,800 | Direct | |
| 22,870 | 22,870 | Indirect |
Footnotes
- 1992 GRAT Remainder Trust f/b/o Gary M. Lauder ("GML GRAT Remainder Trust") 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. The GML GRAT Remainder Trust, 1992 GRAT Remainder Trust f/b/o William P. Lauder ("WPL GRAT Remainder Trust") or William P. Lauder ("WPL"), 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 $65.77 to $66.34 per share, inclusive.
- Owned by GML GRAT Remainder Trust directly. Owned by each of GML and WPL, indirectly, as a trustee of the GML GRAT Remainder Trust.
- GML disclaims beneficial ownership to the extent that he does not have a pecuniary interest in such securities.
- WPL disclaims beneficial ownership to the extent that he does not have a pecuniary interest in such securities.
- Sales prices range from $64.51 to $65.50 per share, inclusive.
- Sales prices range from $65.51 to $65.66 per share, inclusive.
- The WPL Remainder Trust distributed for no consideration 146,125 shares of Class A Common Stock to WPL.
- Owned by WPL GRAT Remainder Trust directly. Owned by each of GML and WPL, indirectly, as a trustee of the WPL GRAT Remainder Trust.
- WPL GRAT Remainder Trust 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.
- Sales prices range from $65.78 to $66.34 per share, inclusive.
- Sales prices range from $64.5 to $65.48 per share, inclusive.
- Sales prices range from $65.5 to $65.67 per share, inclusive.
- Reflects the disposition by WPL of 146,125 shares of Class A Common Stock on April 29, 2010, in a transaction exempt under Rule 16a-12.
- Owned by WPL directly.
- WPL 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 February 3, 2010.
- Sales prices range from $65.78 to $66.34 per share, inclusive.
- Sales prices range from $64.51 to $65.50 per share, inclusive.
- Sales prices range from $65.54 to $65.67 per share, inclusive.
- Owned by WPL indirectly, in custody for his children.
- 33,000 shares exercisable from and after January 1, 2003; 33,000 shares exercisable from and after January 1, 2004; 34,000 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.
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