Filing Details
- Accession Number:
- 0001001250-10-000265
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-09-10 16:26:43
- Reporting Period:
- 2010-09-08
- Filing Date:
- 2010-09-10
- Accepted Time:
- 2010-09-10 16:26:43
- 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 | 2010-09-08 | 10,000 | $58.31 | 635,513 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-09-08 | 1,000 | $40.50 | 66,811 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2010-09-08 | 1,000 | $32.15 | 67,811 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-09-08 | 2,000 | $58.57 | 65,811 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2010-09-09 | 5,000 | $58.49 | 630,513 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2010-09-09 | 20,000 | $40.50 | 85,811 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2010-09-09 | 20,000 | $32.15 | 105,811 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2010-09-09 | 40,000 | $58.74 | 65,811 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2010-09-08 | 1,000 | $0.00 | 1,000 | $40.50 |
| Class A Common Stock | Option (right to buy) | Disposition | 2010-09-08 | 1,000 | $0.00 | 1,000 | $32.15 |
| Class A Common Stock | Option (right to buy) | Disposition | 2010-09-09 | 20,000 | $0.00 | 20,000 | $40.50 |
| Class A Common Stock | Option (right to buy) | Disposition | 2010-09-09 | 20,000 | $0.00 | 20,000 | $32.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 69,000 | 2011-07-26 | No | 4 | M | Direct | |
| 69,000 | 2012-07-10 | No | 4 | M | Direct | |
| 49,000 | 2011-07-26 | No | 4 | M | Direct | |
| 49,000 | 2012-07-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 884,331 | Indirect | by 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
- 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 February 3, 2010 and on May 3, 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 GML GRAT Remainder Trust, Gary M. Lauder ("GML") or William P. Lauder ("WPL"), as the case may be, undertakes to provide the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by such 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 1992 GRAT Remainder Trust f/b/o William P. Lauder (the "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.
- Owned by WPL indirectly, in custody for his children.
- 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.
- 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 April 29, 2010.
- Options granted pursuant to the 1999 Share Incentive Plan in respect of 33,000 shares exercisable from and after January 1, 2004; 33,000 shares exercisable from and after January 1, 2005; 34,000 shares exercisable from and after January 1, 2006.
- Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 33,000 shares exercisable from and after January 1, 2004; 33,000 shares exercisable from and after January 1, 2005; 34,000 shares exercisable from and after January 1, 2006.
- Not applicable.
- Sales prices range from $57.80 to $58.60 per share, inclusive.
- Sales prices range from $58.54 to $58.59 per share, inclusive.
- Sales prices range from $58.12 to $58.94 per share, inclusive.
- Sales prices range from $58.50 to $58.98 per share, inclusive.
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