Filing Details
- Accession Number:
- 0001001250-17-000105
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-02 17:59:49
- Reporting Period:
- 2017-10-31
- Accepted Time:
- 2017-11-02 17:59:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1441645 | Gregory Polcer | The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | Evp - Global Supply Chain | 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 | Acquisiton | 2017-10-31 | 7,872 | $0.00 | 77,781 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2017-10-31 | 4,396 | $111.40 | 73,385 | No | 4 | F | Direct | |
| Class A Common Stock | Disposition | 2017-11-01 | 53,896 | $29.04 | 127,281 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2017-11-01 | 53,896 | $120.00 | 73,385 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2017-11-02 | 1,800 | $119.68 | 71,585 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2017-11-02 | 1,476 | $120.32 | 70,109 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2017-11-02 | 200 | $121.56 | 69,909 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Restricted Stock Units (Share Payout) | Disposition | 2017-10-31 | 2,534 | $0.00 | 2,534 | $0.00 |
| Class A Common Stock | Restricted Stock Units (Share Payout) | Disposition | 2017-10-31 | 2,790 | $0.00 | 2,790 | $0.00 |
| Class A Common Stock | Restricted Stock Units (Share Payout) | Disposition | 2017-10-31 | 2,548 | $0.00 | 2,548 | $0.00 |
| Class A Common Stock | Option (Right to Buy) | Disposition | 2017-11-01 | 53,896 | $0.00 | 53,896 | $29.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-10-31 | 2017-10-31 | No | 4 | M | Direct |
| 2,790 | 2018-10-31 | 2018-10-31 | No | 4 | M | Direct |
| 5,097 | 2018-10-31 | 2019-10-31 | No | 4 | M | Direct |
| 0 | 2012-01-01 | 2020-09-01 | No | 4 | M | Direct |
Footnotes
- Payout of shares upon vesting of portions of Restricted Stock Units ("RSUs") granted September 3, 2014, September 4, 2015 and September 6, 2016.
- Not applicable.
- Represents the withholding of shares for tax purposes.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 26,298 shares exercisable from and after January 1, 2012; 26,298 shares exercisable from and after January 1, 2013; 26,300 shares exercisable from and after January 1, 2014.
- The sales of the shares of Class A Common Stock were made pursuant to a Rule 10b5-1(c) trading plan entered into on September 8, 2017.
- The number of securities reported represents an aggregated 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 $119.06 to $120.05.
- Sales prices range from $120.12 to $120.58.
- Sales prices range from $121.21 to $121.90.
- RSUs 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.
- RSUs from grant dated September 3, 2014.
- RSUs from grant dated September 4, 2015. Assuming continued employment, RSUs will vest and be paid out as follows: 2,790 on October 31, 2018.
- RSUs from grant dated September 6, 2016. Assuming continued employment, RSUs will vest and be paid out as follows: 2,548 on October 31, 2018; and 2,549 on October 31, 2019.
Billionaire Hedge Funds
