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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 | ||||||||
Restricted Stock Units (Share Payout) (4) | $ 0 (2) | 10/31/2018 | M | 14,753 | 10/31/2018(5) | 10/31/2018 | Class A Common Stock | 14,753 | $ 0 (2) | 0 | D | ||||
Restricted Stock Units (Share Payout) (4) | $ 0 (2) | 10/31/2018 | M | 13,690 | 10/31/2018(6) | 10/31/2019 | Class A Common Stock | 13,690 | $ 0 (2) | 13,691 | D | ||||
Restricted Stock Units (Share Payout) (4) | $ 0 (2) | 10/31/2018 | M | 12,339 | 10/31/2018(7) | 11/02/2020 | Class A Common Stock | 12,339 | $ 0 (2) | 24,678 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Freda Fabrizio THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 |
X | President and CEO |
Fabrizio Freda, 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) | Represents the withholding of shares for tax purposes. |
(4) | 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, additional 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. |
(5) | RSUs from grant dated September 4, 2015. |
(6) | RSUs from grant dated September 6, 2016. Assuming continued employment, RSUs will vest and be paid out as follows: 13,691 on October 31, 2019. |
(7) | RSUs from grant dated September 3, 2014. Assuming continued employment, RSUs will vest and be paid out as follows: 12,339 on October 31, 2019 and 12,339 on November 2, 2020. |