|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 | ||||||||
Restricted Stock Units (Share Payout) (8) | $ 0 (2) | 10/31/2018 | M | 2,052 (9) | 10/31/2018(11) | 10/31/2018 | Class A Common Stock | 2,052 | $ 0 (2) | 0 | D | ||||
Restricted Stock Units (Share Payout) (8) | $ 0 (2) | 10/31/2018 | M | 2,235 (10) | 10/31/2018(10) | 10/31/2019 | Class A Common Stock | 2,235 | $ 0 (2) | 2,236 | D | ||||
Restricted Stock Units (Share Payout) (8) | $ 0 (2) | 10/31/2018 | M | 2,649 (11) | 10/31/2018(8)(11) | 11/02/2020 | Class A Common Stock | 2,649 | $ 0 (2) | 5,299 | D | ||||
Option (Right to Buy) | $ 76.23 | 11/02/2018 | M | 20,925 | (5) | 09/03/2024 | Class A Common Stock | 20,935 | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hertzmark Hudis Jane THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 |
Group President |
Jane Hertzmark Hudis, by Spencer G. Smul, attorney-in-fact | 11/02/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Payout of shares upon vesting of portions of Restricted Stock Units ("RSUs") granted September 4, 2015, September 6, 2016, and September 5, 2017. |
(2) | Not applicable. |
(3) | Payout of dividend shares earned upon vesting of portions of Restricted Stock Units ("RSUs") granted September 4, 2015, September 6, 2016, and September 5, 2017. |
(4) | Represents the withholding of shares for tax purposes. |
(5) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 6,975 shares exercisable from and after January 1, 2016; 6,975 shares exercisable from and after January 1, 2017; and 6,975 shares exercisable from and after January 1, 2018. |
(6) | 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. |
(7) | Sales prices range from $142.74 to $143.18 per share, inclusive. |
(8) | RSUs vest and are paid out in shares of Class A Common Stock on a one-to-one basis on the applicable vesting date. RSUs generally vest in three approximately equal installments. Upon payout, shares will be withheld to cover statutory tax obligations. RSUs are accompanied by dividend equivalent rights that will be payable in cash at the time of payout of the related shares. |
(9) | RSUs from grant dated September 4, 2015. |
(10) | RSUs from grant dated September 6, 2016. Assuming continued employment, RSUs will vest and be paid out as follows: 2,236 on October 31, 2019. |
(11) | RSUs from grant dated September 5, 2017. Assuming continued employment, RSUs will vest and be paid out as follows: 2,649 on October 31, 2019; and 2,650 on November 2, 2020. |