Accession Number: | 0001001250-20-000072 |
Date: | 2020-09-03 |
Issuer: | ESTEE LAUDER COMPANIES INC (EL) |
Original Submission Date: |
TROWER ALEXANDRA C.
THE ESTEE LAUDER COMPANIES INC.
767 FIFTH AVENUE
NEW YORK, NY 10153
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2020-09-03 | S | 1,260 | d | $221.80 | 7,709 | indirect | ||
CLASS A COMMON STOCK | 2020-09-03 | S | 100 | d | $221.81 | 7,609 | indirect | ||
CLASS A COMMON STOCK | 2020-09-03 | A | 6,751 | a | $0.00 | 6,751 | direct | ||
CLASS A COMMON STOCK | 2020-09-03 | F | 2,924 | d | $219.80 | 3,827 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | M | 8,726 | a | $89.47 | 12,553 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | M | 7,499 | a | $107.95 | 20,052 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | M | 5,203 | a | $138.15 | 25,255 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 1,256 | d | $213.07 | 23,999 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 5,659 | d | $214.01 | 18,340 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 2,602 | d | $215.14 | 15,738 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 8,413 | d | $215.99 | 7,325 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 2,405 | d | $217.12 | 4,920 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 600 | d | $217.96 | 4,320 | direct | ||
CLASS A COMMON STOCK | 2020-09-04 | S | 493 | d | $218.79 | 3,827 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
OPTION (RIGHT TO BUY) | 218.06 | 2020-09-03 | deemed execution date | A | 14,714 (a) | 2030-09-03 | class a common stock 14,714 | $218.06 | 14,714 | direct | ||
RESTRICTED STOCK UNITS (SHARE PAYOUT) | 0.0 | 2020-09-03 | deemed execution date | A | 3,921 (a) | class a common stock 3,921 | $0.00 | 3,921 | direct | |||
OPTION (RIGHT TO BUY) | 89.47 | 2020-09-04 | deemed execution date | M | 8,726 (d) | 2026-09-06 | class a common stock 8,726 | $89.47 | 0 | direct | ||
OPTION (RIGHT TO BUY) | 107.95 | 2020-09-04 | deemed execution date | M | 7,499 (d) | 2027-09-05 | class a common stock 7,499 | $107.95 | 7,499 | direct | ||
OPTION (RIGHT TO BUY) | 138.15 | 2020-09-04 | deemed execution date | M | 5,203 (d) | 2028-09-04 | class a common stock 5,203 | $138.15 | 10,406 | direct |
ID | footnote |
---|---|
f1 | reflects payout of performance share units ("psus") granted to reporting person on september 5, 2017. |
f2 | represents the withholding of shares for tax purposes in connection with the payout of the psus. |
f3 | stock options granted pursuant to fiscal 2002 share incentive plan in respect of 8,726 shares exercisable from and after january 1, 2018; 8,726 shares exercisable from and after january 1, 2019; 8,726 shares exercisable from and after january 1, 2020. |
f4 | stock options granted pursuant to fiscal 2002 share incentive plan in respect of 7,498 shares exercisable from and after january 1, 2019; 7,499 shares exercisable from and after january 1, 2020; and 7,499 shares exercisable from and after january 1, 2021. |
f5 | stock options granted pursuant to fiscal 2002 share incentive plan in respect of 5,203 shares exercisable from and after january 1, 2020; 5,203 shares exercisable from and after january 1, 2021; and 5,203 shares exercisable from and after january 1, 2022. |
f6 | 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. |
f7 | sales prices range from $212.47 to $213.44 per share, inclusive. |
f8 | sales prices range from $213.49 to $214.48 per share, inclusive. |
f9 | sales prices range from $214.52 to $215.49 per share, inclusive. |
f10 | sales prices range from $215.52 to $216.45 per share, inclusive. |
f11 | sales prices range from $216.55 to $217.49 per share, inclusive. |
f12 | sales prices range from $217.62 to $218.38 per share, inclusive. |
f13 | stock options granted pursuant to fiscal 2002 share incentive plan in respect of 4,904 shares exercisable from and after january 1, 2022; 4,905 shares exercisable from and after january 1, 2023; and 4,905 shares exercisable from and after january 1, 2024. |
f14 | not applicable. |
f15 | assuming continued employment, these restricted stock units ("rsus") will vest and be paid out as follows: 1,306 on november 1, 2021; 1,307 on november 1, 2022; and 1,308 on november 1, 2023. rsus vest and are paid out in shares of class a common stock on a one-to-one basis on the applicable vesting date. 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. |