Travis Tracey Thomas's Form 4 filing
Estee Lauder Companies Inc (EL) · filed Nov 10, 2021
- Accession no.
- 0001001250-21-000207
- Filed
- Nov 10, 2021
- Trade date
- Nov 10, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $16.4M. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Travis Tracey ThomasCIK 0001258930 | Officer (EVP & CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Class A Common Stock | MOption exerciseAcquired | +47,638 | $107.95F1 | +$5,142,522.1 | 89,716 | Direct | |
| Nov 10, 2021 | Class A Common Stock | SSaleDisposed | −34,573 | $344.42F2,F3 | −$11,907,632.66 | 55,143 | Direct | |
| Nov 10, 2021 | Class A Common Stock | SSaleDisposed | −3,726 | $345.57F2,F4 | −$1,287,593.82 | 51,417 | Direct | |
| Nov 10, 2021 | Class A Common Stock | SSaleDisposed | −6,682 | $346.68F2,F5 | −$2,316,515.76 | 44,735 | Direct | |
| Nov 10, 2021 | Class A Common Stock | SSaleDisposed | −2,657 | $347.25F2,F6 | −$922,643.25 | 42,078 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Class A Common Stock | MOption exerciseDisposed | −47,638 | $0.00F7 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 15,879 shares exercisable from and after January 1, 2019; 15,879 shares exercisable from and after January 1, 2020; and 15,880 shares exercisable from and after January 1, 2021.
Referenced by the price of 1 transaction in Table I.
- F2
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.
Referenced by the price of 4 transactions in Table I.
- F3
Sales prices range from $344.00 to $344.98 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
Sales prices range from $345.07 to $346.06 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
Sales prices range from $346.07 to $347.05 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F6
Sales prices range from $347.07 to $347.51 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F7
Not applicable.
Referenced by the price of 1 transaction in Table II.