FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/14/2009 |
3. Issuer Name and Ticker or Trading Symbol
ESTEE LAUDER COMPANIES INC [ EL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 618.1761 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (Right to Buy) | (1) | 08/16/2010 | Class A Common Stock | 1,000 | $43.6875 | D | |
Option (Right to Buy) | (2) | 08/22/2011 | Class A Common Stock | 10,000 | $40.23 | D | |
Option (Right to Buy) | (3) | 07/10/2012 | Class A Common Stock | 5,000 | $32.15 | D | |
Option (Right to Buy) | (4) | 09/20/2016 | Class A Common Stock | 3,750 | $39.56 | D | |
Option (Right to Buy) | (5) | 09/21/2017 | Class A Common Stock | 1,250 | $42.58 | D | |
Option (Right to Buy) | (6) | 09/11/2018 | Class A Common Stock | 12,500 | $52.83 | D | |
Restricted Stock Units (Share Payout) | (7) | (7) | Class A Common Stock | 4,862 | (7) | D | |
Class B Common Stock | (8) | (8) | Class A Common Stock | 4,778,882 | (9) | I | Jane A. Lauder 2003 Revocable Trust |
Explanation of Responses: |
1. These options became fully exercisable on January 1, 2004. |
2. These options became fully exercisable on January 1, 2006. |
3. These options became fully exercisable on January 1, 2006. |
4. These options are a part of a grant of options in respect of 1,250 shares exercisable from and after January 1, 2008, 1,250 shares exercisable from and after January 1, 2019, and 1,250 shares exercisable from and after January 1, 2010. |
5. These options are a part of a grant of options in respect of 416 shares exercisable from and after January 1, 2009, 417 shares exercisable from and after January 1, 2010, 417 shares exercisable from and after January 1, 2011. |
6. These options are a part of a grant of options in respect of 4,166 shares exercisable from and after January 1, 2010, 4,167 shares exercisable from and after January 1, 2011, 4,167 shares exercisable from and after January 1, 2012. |
7. Assuming continued employment, the restricted stock units will vest and be paid out as follows: 1,945 on November 2, 2009, 1,528 on November 1, 2010, and 1,389 on October 31, 2011, or in each case the first day thereafter that shares may be sold pursuant to company policy. Upon payout, shares will be withheld to cover minimum statutory tax obligations. Restricted stock units are accompanied by dividend equivalent rights that will be payable in cash at the time of payout of the related shares. |
8. Shares of Class B Common Stock may be converted immediately on a one-for-one basis by the holder and are automatically converted into Class A Common Stock on a one-for-one basis upon transfer to a person or entity that is not a "Permitted Transferee" or soon after a record date for a meeting of stockholders where the outstanding Class B Common Stock constitutes less than 10% of the outstanding shares of Common Stock of the Issuer. |
9. There is no exercise or conversion price for the Class B Common Stock. It is convertible into shares of Class A Common Stock on a one-for-one basis. |
Remarks: |
Jane Lauder, by Charles E. Reese, II, Attorney-in-fact | 07/22/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |