| 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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/16/2022 | 3. Issuer Name and Ticker or Trading Symbol ESTEE LAUDER COMPANIES INC [ EL ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 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) | 09/03/2024 | Class A Common Stock | 12,786 | 76.23 | D | |
| Option (right to buy) | (2) | 09/04/2025 | Class A Common Stock | 15,238 | 77.35 | D | |
| Option (right to buy) | (3) | 09/06/2026 | Class A Common Stock | 17,128 | 89.47 | D | |
| Option (right to buy) | (4) | 09/05/2027 | Class A Common Stock | 14,592 | 107.95 | D | |
| Option (right to buy) | (5) | 09/04/2028 | Class A Common Stock | 9,982 | 138.15 | D | |
| Option (right to buy) | (6) | 09/03/2029 | Class A Common Stock | 7,661 | 199.49 | D | |
| Option (right to buy) | (7) | 09/03/2030 | Class A Common Stock | 8,217 | 218.06 | D | |
| Option (right to buy) | (8) | 09/02/2031 | Class A Common Stock | 4,936 | 344.06 | D | |
| Restricted Stock Units (Share Payout)(9) | 11/01/2022(10) | 11/01/2022(10) | Class A Common Stock | 646 | (11) | D | |
| Restricted Stock Units (Share Payout)(9) | 11/01/2022(12) | 11/01/2022(12) | Class A Common Stock | 2,507 | (11) | D | |
| Restricted Stock Units (Share Payout)(9) | 11/01/2022(13) | 11/01/2023(13) | Class A Common Stock | 1,344 | (11) | D | |
| Restricted Stock Units (Share Payout)(9) | 11/01/2022(14) | 11/01/2024(14) | Class A Common Stock | 1,216 | (11) | D | |
| Explanation of Responses: |
| 1. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 4,262 shares exercisable from and after January 1, 2016; 4,262 shares exercisable from and after January 1, 2017; and 4,262 shares exercisable from and after January 1, 2018. |
| 2. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 5,079 shares exercisable from and after January 1, 2017; 5,079 shares exercisable from and after January 1, 2018; and 5,080 shares exercisable from and after January 1, 2019. |
| 3. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 5,709 shares exercisable from and after January 1, 2018; 5,709 shares exercisable from and after January 1, 2019; and 5,710 shares exercisable from and after January 1, 2020. |
| 4. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 4,864 shares exercisable from and after January 1, 2019; 4,864 shares exercisable from and after January 1, 2020; and 4,864 shares exercisable from and after January 1, 2021. |
| 5. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 3,327 shares exercisable from and after January 1, 2020; 3,327 shares exercisable from and after January 1, 2021; and 3,328 shares exercisable from and after January 1, 2022. |
| 6. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 2,553 shares exercisable from and after January 1, 2021; 2,554 shares exercisable from and after January 1, 2022; and 2,554 shares exercisable from and after January 1, 2023. |
| 7. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 2,738 shares exercisable from and after January 1, 2022; 2,739 shares exercisable from and after January 1, 2023; and 2,740 shares exercisable from and after January 1, 2024. |
| 8. Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 1,645 shares exercisable from and after January 1, 2023; 1,645 shares exercisable from and after January 1, 2024; and 1,645 shares exercisable from and after January 1, 2025. |
| 9. 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, shares will be withheld to cover statutory tax obligations. These RSUs, awarded to the Reporting Person prior to designation as a Section 16 Insider, have dividend rights pursuant to which shares earned will be payable at the time of the payout of the related shares. |
| 10. RSUs from annual grant dated September 3, 2019. Assuming continued employment, RSUs will vest and be paid out as follows: 646 on November 1, 2022. |
| 11. Not applicable. |
| 12. RSUs from non-annual grant dated September 3, 2019. Assuming continued employment, these RSUs will vest and be paid out as follows: 2,507 on November 1, 2022. |
| 13. RSUs from annual grant dated September 3, 2020. Assuming continued employment, RSUs will vest and be paid out as follows: 672 on November 1, 2022; and 672 on November 1, 2023. |
| 14. RSUs from annual grant dated September 2, 2021. Assuming continued employment, RSUs will vest and be paid out as follows: 405 on November 1, 2022; 405 on November 1, 2023; and 406 on November 1, 2024. |
| Remarks: |
| Peter Jueptner, by Maureen Sladek, attorney-in-fact | 06/16/2022 | |
| ** 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. | ||
