-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, L9eW2uvMGvwW5/5udEaK1pYkWr7cBCvtJxqbG9MAQAzLuZ+8n5pHe+VUWpNY5m/Z QgXeA5ivvIr8klwA8qwLfA== 0000942617-99-000002.txt : 19990615 0000942617-99-000002.hdr.sgml : 19990615 ACCESSION NUMBER: 0000942617-99-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990531 FILED AS OF DATE: 19990610 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESTEE LAUDER COMPANIES INC CENTRAL INDEX KEY: 0001001250 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 112408943 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-14064 FILM NUMBER: 99643604 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125724200 MAIL ADDRESS: STREET 1: 767 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10153 COMPANY DATA: COMPANY CONFORMED NAME: LAUDER RONALD S CENTRAL INDEX KEY: 0000942617 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STE 4200 CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125724200 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10153 4 1 FORM 4 - 05/31/1999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Lauder, Ronald S. The Estee Lauder Companies Inc. 767 Fifth Avenue New York, NY 10153 2. Issuer Name and Ticker or Trading Symbol The Estee Lauder Companies Inc. EL 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 05/31/1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director (X) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman of Clinique Laboratories, Inc. and Estee Lauder International, Inc. 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Class A Common Stock |05/18/|J (1|V|2,589,416 |D | | |D | | |1999 |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |05/18/|X | |937,554 |A |(2) | |D | | |1999 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |05/18/|G |V|1,029,317 |D | |3,697,493 (3,4) |D | | |1999 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |05/05/|S | |155,039 |D |$96.75 | |I |By Estee Lauder 1994 Trust | |1999 | | | | | | | |(5,6) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |05/26/|S | |108,182 |D |$92.4375 |3,885,933 (3) |I |By Estee Lauder 1994 Trust | |1999 | | | | | | | |(5,6) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock | | | | | | |1,591 (3) |I |By Descen. of RSl 1966 Trus| | | | | | | | | |t (5,7) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock | | | | | | |7,692 (3) |I |By Lauder & Son L.P. (5,8) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Class B Common Stock |1:1 |05/18|X (2| |937,554 |D |Immed|NA |Class A Comm|937,554|NA | |D | | | |/1999|) | | | |. | |on Stock | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 |05/18|G |V|3,070,683 |D |Immed|NA |Class A Comm|3,070,6|NA |14,761,178 (|D | | | |/1999| | | | |. | |on Stock |83 | |3) | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|1,591 |NA |1,591 (3) |I |By Descen. o| | | | | | | |. | |on Stock | | | | |f RSL 1966 T| | | | | | | | | | | | | | |rust (5,7) | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|6,094,9|NA |6,094,926 (3|I |By Estee Lau| | | | | | | |. | |on Stock |26 | |) | |der 1994 Tru| | | | | | | | | | | | | | |st (5,6) | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|1,923,0|NA |1,923,077 (3|I |By Lauder & | | | | | | | |. | |on |77 | |) | |Sons L.P. (5| | | | | | | | | | | | | | |,8) | - -----------------------------------------------------------------------------------------------------------------------------------| Call Option (right to |1:1 |05/18|X | |937,554 |D |Immed|6/30/|Class A Comm|937,554| |0 |D | | acquire Class A Common| |/1999| | | | |. |2000 |on Stock | | | | | | Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Put Option (right to s|1:1 |05/18|X | |937,554 |D |Immed|6/30/|Class A Comm|937,554| |0 |D | | ell Class B Common Sto| |/1999| | | | |. |2000 |on Stock | | | | | | ck) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Put Option (obligation|1:1 |05/18|E | |937,554 |D |Immed|6/30/|Class A Comm|937,554| |0 |D | | acquire Class A Commo| |/1999| | | | |. |2000 |on Stock | | | | | | n Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Call Option (obligatio|1:1 |05/18|E | |937,554 |D |Immed|6/30/|Class A Comm|937,554| |0 |D | | n to sell Class B Comm| |/1999| | | | |. |2000 |on Stock | | | | | | on Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Repayment by Reporting Person of a portion of the stock loan made to him prior to the Issuer's initial public offering. (2) Acquisition of shares of Class A Common Stock and disposition of shares of Class B Common Stock pursuant to Call Option (right to acquire Class A Common Stock) and Put Option (right to sell Class B Common Stock) referred to in Table II. These options provided for the delivery of a like number of shares of Class B Common Stock to acquire the shares of Class A Common Stock. (3) The amount of securities beneficially owned at the end of the month does not reflect the Issuer's 2-for-1 stock split of its Class A and Class B Common Stock because the stock split did not become effective until June 2, 1999. (4) The Reporting Person has a short position of 3,697,493 shares of Class A Common Stock established prior to the Issuer's initial public offering. (5) The Reporting Person disclaims beneficial ownership to the extent he does not have a pecuniary interest in such securities. (6) The Reporting Person is co-Trustee and beneficiary of The Estee Lauder 1994 Trust. (7) The Reporting Person is the trustee of The Descendants of Ronald S. Lauder 1966 Trust. (8) The Reporting Person is a general partner of Lauder & Sons L.P. The Reporting Person is also a Trustee of The 1995 Estee Lauder RSL Trust, which is also a general partner of Lauder & Sons L.P. SIGNATURE OF REPORTING PERSON Ronald S. Lauder DATE 06/04/1999 -----END PRIVACY-ENHANCED MESSAGE-----