Filing Details
- Accession Number:
- 0001001250-11-000071
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-16 17:29:03
- Reporting Period:
- 2011-05-12
- Filing Date:
- 2011-05-16
- Accepted Time:
- 2011-05-16 16:29:03
- 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 | 767 Fifth Avenue New York NY 10153 | No | No | Yes | No | |
1260297 | Lauder Gary Fbo Trust Remainder Grat 1992 | 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 | 2011-05-12 | 5,100 | $99.69 | 182,080 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2011-05-12 | 4,900 | $100.46 | 177,180 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2011-05-12 | 5,000 | $101.21 | 172,180 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2011-05-13 | 8,600 | $100.14 | 162,162,580 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2011-05-13 | 1,400 | $101.02 | 162,180 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2011-05-12 | 15,000 | $33.44 | 96,938 | No | 4 | M | Direct | |
Class A Common Stock | Disposition | 2011-05-12 | 15,000 | $100.67 | 81,938 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2011-05-13 | 10,000 | $33.44 | 91,938 | No | 4 | M | Direct | |
Class A Common Stock | Disposition | 2011-05-13 | 9,900 | $100.82 | 82,038 | No | 4 | S | Direct | |
Class A Common Stock | Disposition | 2011-05-13 | 100 | $101.37 | 81,938 | 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 | 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 | 2011-05-12 | 15,000 | $0.00 | 15,000 | $33.44 |
Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 10,000 | $0.00 | 10,000 | $33.44 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
185,000 | 2013-08-20 | No | 4 | M | Direct | |
175,000 | 2013-08-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 531,331 | 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 | 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 plans intended to comply with Rule 10b5-1(c), previously entered into on December 6, 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 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 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.
- Owned by WPL GRAT Remainder Trust directly. Owned by each of GML and 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 $99.02 to $99.99 per share, inclusive.
- Sales prices range from $100.04 to $101.03 per share, inclusive.
- Sales prices range from $101.05 to $101.41 per share, inclusive.
- Sales prices range from $99.73 to $100.71 per share, inclusive.
- Sales prices range from $100.79 to $101.52 per share, inclusive.
- Sales prices range from $100.08 to $101.02 per share, inclusive.
- Sales prices range from $100.36 to $101.32 per share, inclusive.