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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $ 26.42 | 08/23/2018 | M | 8,334 | (1) | 09/11/2018 | Class A Common Stock | 8,334 | (6) | 0 | D | ||||
Option (right to buy) | $ 17 | 08/23/2018 | M | 28,000 | (2) | 09/01/2019 | Class A Common Stock | 28,000 | (6) | 0 | D |
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 |
Jane Lauder, by Maureen Sladek, Attorney-in-fact | 08/23/2018 | |
**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) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 8,334 shares exercisable from and after January 1, 2012. Upon award, this option was reported as covering 4,166 shares exercisable from and after January 1, 2010; 4,167 shares exercisable from and after January 1, 2011; and 4,167 shares exercisable from and after January 1, 2012 at an exercise price of $52.83. The options exercisable as of January 2010 and January 2011 were exercised prior to a stock split that occurred on January 20, 2012. The remaining options, those exercisable as of January 2012, have been adjusted in this report to reflect that stock split. |
(2) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of 9,332 shares exercisable from and after January 1, 2011; 9,334 shares exercisable from and after January 1, 2012; and 9,334 shares exercisable from and after January 1, 2013. Upon award, this option was reported as covering 4,666 shares exercisable from and after January 1, 2011; 4,667 shares exercisable from and after January 1, 2012; and 4,667 shares exercisable from and after January 1, 2013 at an exercise price of $34.00, but have been adjusted in this report to reflect the stock split that occurred on January 20, 2012. |
(3) | 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. |
(4) | Sales prices range from $132.13 to $133.12 per share, inclusive. |
(5) | Sales prices range from $133.13 to $134.06 per share, inclusive. |
(6) | Not applicable. |