Statement of Changes in Beneficial Ownership (4)
May 07 2020 - 3:50PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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LAUDER JANE |
2. Issuer Name and Ticker or Trading Symbol
ESTEE LAUDER COMPANIES INC
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EL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O THE ESTEE LAUDER COMPANIES INC., 767 FIFTH AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/7/2020 |
(Street)
NEW YORK, NY 10153
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 5/7/2020 | | M | | 35596 | A | $29.04 (1) | 82930 | D | |
Class A Common Stock | 5/7/2020 | | S | | 6904 (2) | D | $170.34 (2)(3) | 76026 | D | |
Class A Common Stock | 5/7/2020 | | S | | 18880 (2) | D | $171.47 (2)(4) | 57146 | D | |
Class A Common Stock | 5/7/2020 | | S | | 9812 (2) | D | $172.19 (2)(5) | 47334 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option (right to buy) | $29.04 | 5/7/2020 | | M | | | 35596 | (1) | 9/1/2020 | Class A Common Stock | 35596 | (6) | 0 | D | |
Explanation of Responses: |
(1) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 35,596 shares exercisable as follows: 11,864 shares from and after January 1, 2012; 11,866 shares from and after January 1, 2013; and 11,866 shares from and after January 1, 2014. These options have been adjusted to reflect a stock split that occurred on January 20, 2012. |
(2) | 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. |
(3) | Sales prices range from $169.94 to $170.91 per share, inclusive. |
(4) | Sales prices range from $170.95 to $171.94 per share, inclusive. |
(5) | Sales prices range from $171.97 to $172.75 per share, inclusive. |
(6) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
LAUDER JANE C/O THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 | X |
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Signatures
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Jane Lauder, by Maureen Sladek, Attorney-in-fact | | 5/7/2020 |
**Signature of Reporting Person | Date |
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