Filing Details
- Accession Number:
- 0001001250-11-000096
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-03 15:50:37
- Reporting Period:
- 2011-06-01
- Filing Date:
- 2011-06-03
- Accepted Time:
- 2011-06-03 15:50:37
- 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 | 2011-06-01 | 30,000 | $33.44 | 111,938 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2011-06-01 | 23,674 | $101.99 | 88,264 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2011-06-01 | 6,326 | $102.53 | 81,938 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2011-06-02 | 5,000 | $33.44 | 86,938 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2011-06-02 | 5,000 | $100.42 | 91,938 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2011-06-01 | 30,000 | $0.00 | 30,000 | $33.44 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-06-02 | 5,000 | $0.00 | 5,000 | $33.44 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,000 | 2013-08-20 | 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 | 112,180 | Indirect | 1992 GRAT Remainder Trust f/b/o GML |
| Class A Common Stock | 534,331 | Indirect | 1992 GRAT Remainder Trust f/b/o WPL |
| 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 | Indirect | ||
| 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 | Indirect | |
| 3,262,800 | 3,262,800 | Direct | |
| 22,870 | 22,870 | 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.
- 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 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 14, 2011.
- Owned by WPL indirectly, in custody for his children.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 66,666 shares exercisable from and after January 1, 2005; 66,667 shares exercisable from and after January 1, 2006; 66,667 shares exercisable from and after January 1, 2007.
- 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 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.
- Sales prices range from $101.38 to $102.37 per share, inclusive.
- Sales prices range from $102.38 to $102.76 per share, inclusive.
- Sales prices range from $100.26 to $100.80 per share, inclusive.
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