Filing Details
- Accession Number:
- 0001001250-11-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-17 17:05:23
- Reporting Period:
- 2011-05-13
- Filing Date:
- 2011-05-17
- Accepted Time:
- 2011-05-17 16:05:23
- 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 |
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 | 2011-05-13 | 10,000 | $40.23 | 10,846 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 5,000 | $32.15 | 15,846 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 5,000 | $43.10 | 20,846 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 1,250 | $39.56 | 22,096 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 1,250 | $42.58 | 23,346 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 1,111 | $52.83 | 24,457 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2011-05-13 | 650 | $34.00 | 25,107 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2011-05-13 | 24,261 | $100.10 | 846 | 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 | M | Direct | |
| No | 4 | M | 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 | 2011-05-13 | 10,000 | $0.00 | 10,000 | $40.23 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 5,000 | $0.00 | 5,000 | $32.15 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 5,000 | $0.00 | 5,000 | $43.10 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 1,250 | $0.00 | 1,250 | $39.56 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 1,250 | $0.00 | 1,250 | $42.58 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 1,111 | $0.00 | 1,111 | $52.83 |
| Class A Common Stock | Option (right to buy) | Disposition | 2011-05-13 | 650 | $0.00 | 650 | $34.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | Direct | |
| 0 | 2011-07-05 | No | 4 | M | 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 | 836,462 | 836,462 | Indirect | ||
| 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 | |
| 836,462 | 836,462 | Indirect | |
| 2,405,297 | 2,405,297 | Indirect | |
| 5,004,796 | 5,004,796 | Indirect |
Footnotes
- 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.
- 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.
- Stock options granted pursuant to Fiscal 1999 Share Incentive Plan in respect of 3,300 shares exercisible from and after January 1, 2004; 3,300 shares exercisible from and after January 1, 2005; 3,400 shares exercisible from and after January 1, 2006.
- Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 1,666 shares exercisible from and after January 1, 2004; 1,667 shares exercisible from and after January 1, 2005; 1,667 shares exercisible from and after January 1, 2006.
- Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 1,666 shares exercisible from and after January 1, 2006; 1,667 shares exercisible from and after January 1, 2007; 1,667 shares exercisible from and after January 1, 2008.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 416 shares exercisable from and after January 1, 2009; 417 shares exercisable from and after January 1, 2010; 417 shares exercisable from and after January 1, 2011.
- Stock Options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 416 shares exercisable from and after January 1, 2009; 417 shares exercisable from and after January 1, 2010; 417 shares exercisable from and after January 1, 2011.
- Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 555 shares exercisable from and after January 1, 2010; 556 shares exercisable from and after January 1, 2011; 556 shares exercisable from and after January 1, 2012.
- Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 650 shares exercisable from and after January 1, 2011; 650 shares exercisable from and after January 1, 2012; 650 shares exercisable from and after January 1, 2013.
- In connection with the termination of employment of Aerin Lauder Zinterhofer ("ALZ"), the expiration date of all her exercisable options became July 5, 2011.
- Not applicable.
- The remaining options held by ALZ were forfeited in connection with her termination of employment.
- Sales prices range from $99.75 to $100.31 per share, inclusive.
- Owned directly by Aerin Lauder Zinterhofer.
- Owned directly by the Aerin Lauder Zinterhofer 2002 Revocable Trust u/a/d April 24, 2000, Aerin Lauder Zinterhofer, as grantor (the "ALZ 2000 Trust"). Owned indirectly by Aerin Lauder (a/k/a Aerin Lauder Zinterhofer). Aerin Lauder Zinterhofer disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities.
- 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 (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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