Statement of Changes in Beneficial Ownership (4)
November 20 2017 - 5:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
1992 GRAT REMAINDER TRUST FBO WILLIAM LAUDER
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2. Issuer Name
and
Ticker or Trading Symbol
ESTEE LAUDER COMPANIES INC
[
EL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Trust with Insider Trustee
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(Last)
(First)
(Middle)
C/O THE ESTEE LAUDER COMPANIES INC., 767 FIFTH AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2017
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(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)
___ Form filed by One Reporting Person
_
X
_ 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
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11/16/2017
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S
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125000
(1)
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D
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$125.87
(1)
(2)
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1016351
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D
(7)
(8)
(9)
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Class A Common Stock
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11/17/2017
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S
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257644
(1)
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D
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$125.14
(1)
(3)
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758707
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D
(7)
(8)
(9)
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Class A Common Stock
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11/17/2017
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S
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12356
(1)
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D
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$125.86
(1)
(4)
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746351
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D
(7)
(8)
(9)
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Class A Common Stock
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11/20/2017
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S
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112603
(1)
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D
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$125.64
(1)
(5)
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633748
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D
(7)
(8)
(9)
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Class A Common Stock
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11/20/2017
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S
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62397
(1)
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D
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$126.23
(1)
(6)
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571351
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D
(7)
(8)
(9)
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Class A Common Stock
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68550
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D
(10)
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Class A Common Stock
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10468
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I
(11)
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by children of WPL
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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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 WPL GRAT Remainder Trust undertakes to provide 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.
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(2)
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Sales prices in the range from $125.55 to $126.40 per share, inclusive.
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(3)
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Sales prices in the range from $124.80 to $125.79 per share, inclusive.
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(4)
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Sales prices in the range from $125.80 to $126.11 per share, inclusive.
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(5)
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Sales prices in the range from $125.04 to $126.02 per share, inclusive.
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(6)
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Sales prices in the range from $126.03 to $126.46 per share, inclusive.
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(7)
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Owned by WPL GRAT Remainder Trust directly. Owned by each of William P. Lauder (WPL) and Gary M. Lauder (GML), indirectly, as a trustee of the WPL GRAT Remainder Trust.
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(8)
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WPL disclaims beneficial ownership to the extent that he does not have a pecuniary interest in such securities.
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(9)
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GML disclaims beneficial ownership to the extent that he does not have a pecuniary interest in such securities.
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(10)
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Owned by WPL directly.
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(11)
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Owned by WPL indirectly, in custody for his children.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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1992 GRAT REMAINDER TRUST FBO WILLIAM LAUDER
C/O THE ESTEE LAUDER COMPANIES INC.
767 FIFTH AVENUE
NEW YORK, NY 10153
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X
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Trust with Insider Trustee
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Lauder William P
C/O THE ESTEE LAUDER COMPANIES INC.
767 FIFTH AVENUE
NEW YORK, NY 10153
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X
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X
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Executive Chairman
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LAUDER GARY M
C/O THE ESTEE LAUDER COMPANIES INC.
767 FIFTH AVENUE
NEW YORK, NY 10153
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X
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Signatures
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1992 GRAT Remainder Trust f/b/o William P. Lauder, by Spencer G. Smul, Attorney-in-fact
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11/20/2017
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**
Signature of Reporting Person
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Date
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William P. Lauder, by Spencer G. Smul, Attorney-in-fact
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11/20/2017
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**
Signature of Reporting Person
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Date
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Gary M. Lauder, by Spencer G. Smul, Attorney-in-fact
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11/20/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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