Filing Details
- Accession Number:
- 0001001250-19-000141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-09 15:20:20
- Reporting Period:
- 2019-12-05
- Accepted Time:
- 2019-12-09 15:20:20
- 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 | The Estee Lauder Companies Inc. 767 Fifth Ave. 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 | 2019-12-05 | 12,513 | $77.35 | 23,831 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-05 | 11,883 | $89.47 | 35,714 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2019-12-05 | 10,180 | $107.95 | 45,894 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-12-05 | 18,439 | $195.74 | 27,455 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2019-12-05 | 27,455 | $196.50 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2019-12-05 | 12,513 | $0.00 | 12,513 | $77.35 |
| Class A Common Stock | Option (right to buy) | Disposition | 2019-12-05 | 23,766 | $0.00 | 23,766 | $89.47 |
| Class A Common Stock | Option (right to buy) | Disposition | 2019-12-05 | 10,180 | $0.00 | 10,180 | $107.95 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-09-04 | No | 4 | M | Direct | |
| 0 | 2026-09-06 | No | 4 | M | Direct | |
| 0 | 2027-09-05 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| 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 | 8,515,960 | 8,515,960 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 45,740 | 45,740 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 8,515,960 | 8,515,960 | Direct | |
| 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 $195.18 to $196.17 per share, inclusive.
- Sales prices range from $196.20 to $196.94 per share, inclusive.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 12,512 shares exercisable from and after January 1, 2017; 12,513 shares exercisable from and after January 1, 2018; and 12,513 shares exercisable from and after January 1, 2019.
- Not applicable.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 11,883 shares exercisable from and after January 1, 2018; 11,883 shares exercisable from and after January 1, 2019; and 11,883 shares exercisable from and after January 1, 2020.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 10,180 shares exercisable from and after January 1, 2019; 10,180 shares exercisable from and after January 1, 2017; and 10,181 shares exercisable from and after January 1, 2018.
- There is no exercise or conversion price for the Class B Common Stock. Shares of Class B Common Stock may be converted immediately on a one-for-one basis by the holder and 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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