Filing Details
- Accession Number:
- 0001001250-11-000223
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-07 16:34:03
- Reporting Period:
- 2011-12-06
- Filing Date:
- 2011-12-07
- Accepted Time:
- 2011-12-07 16:34:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1008090 | Aerin Lauder | C/O The Estee Lauder Companies Inc. 767 Fifth Avenue New York NY 10153 | Yes | No | Yes | No | |
| 1142219 | 4/24/00 U/A/D Trust Lauder Aerin Zinterhofer | C/O Richard D. Parsons 9 West 57Th Street, Suite 4700 New York NY 10019 | No | No | 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 | 2011-12-06 | 93,000 | $0.00 | 93,000 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2011-12-06 | 80,060 | $112.65 | 12,940 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2011-12-06 | 12,940 | $113.19 | 0 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2011-12-06 | 93,000 | $0.00 | 93,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 743,462 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 846 | Direct |
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 | 750,000 | 750,000 | Direct | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 2,405,297 | 2,405,297 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 5,004,796 | 5,004,796 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 750,000 | 750,000 | Direct | |
| 2,405,297 | 2,405,297 | Indirect | |
| 5,004,796 | 5,004,796 | Indirect |
Footnotes
- Not applicable.
- 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 $112.15 to $113.14 per share, inclusive.
- Sales prices range from $113.15 to $113.25 per share, inclusive.
- Owned directly by Aerin Lauder Zinterhofer.
- There is no conversion or exercise price for the Class B Common Stock. It is convertible into shares of Class A Common Stock on a one-for-one basis.
- Shares of Class B Common Stock may be converted immediately into Class A Common Stock 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" 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.
- Owned directly by the Trust under Article 2 of The Zinterhofer 2008 Descendants Trust Agreement u/a/d December 24, 2008 (the "2008 Descendants Trust"). Owned indirectly by Aerin Lauder Zinterhofer as co-trustee of the 2008 Descendants Trust. Aerin Lauder Zinterhofer disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities.
- Owned indirectly as Trustee and ultimate beneficial owner of the Aerin Lauder Zinterhofer 2008 Grantor Retained Annuity Trust (the "2008 GRAT") and with respect to which she has sole voting and investment power. Aerin Lauder Zinterhofer disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities.
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