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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 | ||||||||
Class B Common Stock | (1) | 12/04/2013 | P | 100,000 | (1) | (1) | Class A Common Stock | 100,000 | $ 73.33 | 4,910,594 | D (2) | ||||
Class B Common Stock | (1) | 12/04/2013 | P | 175,000 | (1) | (1) | Class A Common Stock | 175,000 | $ 73.33 | 1,675,000 | D (3) | ||||
Class B Common Stock | (1) | (1) | (1) | Class A Common Stock | 1,331,324 | 1,331,324 | I (4) | Aerin Lauder Zinterhofer 2000 Revocable Trust | |||||||
Class B Common Stock | (1) | (1) | (1) | Class A Common Stock | 9,865,192 | 9,865,192 | I (5) | Aerin Lauder Zinterhofer 2008 GRAT | |||||||
Class B Common Stock | (1) | 12/04/2013 | P | 275,000 | (1) | (1) | Class A Common Stock | 275,000 | $ 73.33 | 275,000 | D (6) | ||||
Class B Common Stock | (1) | (1) | (1) | Class A Common Stock | 17,161,020 | 17,161,020 | I (7) | Jane A. Lauder 2003 Revocable Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRUST UNDER ARTICLE 2 OF THE ZINTERHOFER 2008 DESCENDANTS TRUST AGREEMENT C/O THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 |
X | |||
LAUDER AERIN C/O THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 |
X | X | ||
LAUDER JANE C/O THE ESTEE LAUDER COMPANIES INC. 767 FIFTH AVENUE NEW YORK, NY 10153 |
X | X |
Aerin Lauder, Trustee, 2008 descendants Trust, by Spencer G. Smul, attorney-in-fact | 12/06/2013 | |
**Signature of Reporting Person | Date | |
Aerin Lauder, by Spencer G. Smul, attorney-in-fact | 12/06/2013 | |
**Signature of Reporting Person | Date | |
Jane Lauder, by Spencer G. Smul, Attorney-in-fact | 12/06/2013 | |
**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) | Shares of Class B Common Stock may be converted immediately into Class A Common Stock 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. |
(2) | Owned directly by the Trust under Article 2 of The Zinterhofer 2008 Descendants Trust Agreement u/a/d December 24, 2008 (the "2008 Descendants Trust"). Owned indirectly by Aerin Lauder Zinterhofer and Jane Lauder as Trustees of the 2008 Descendants Trust. Aerin Lauder Zinterhofer disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities. Jane Lauder disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities. |
(3) | Owned directly by Aerin Lauder. |
(4) | Owned indirectly by Aerin Lauder as Grantor and beneficial owner of the Aerin Lauder Zinterhofer 2000 Revocable Trust. |
(5) | Owned indirectly by Aerin Lauder as Trustee and ultimate beneficial owner of the Aerin Lauder Zinterhofer 2008 Grantor Retained Annuity Trust and with respect to which she has sole voting and investment power. Aerin Lauder Zinterhofer disclaims beneficial ownership to the extent that she does not have a pecuniary interest in such securities. |
(6) | Owned directly by Jane Lauder. |
(7) | Owned indirectly by Jane Lauder as Grantor and beneficial owner of the Jane A. Lauder 2003 Revocable Trust. |