Initial Statement of Beneficial Ownership (3)
23 Novembro 2022 - 1:59PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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de la Faverie Stephane |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/18/2022
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3. Issuer Name and Ticker or Trading Symbol
ESTEE LAUDER COMPANIES INC [EL]
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(Last)
(First)
(Middle)
C/O THE ESTEE LAUDER COMPANIES INC., 767 FIFTH AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Executive Group President / |
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(Street)
NEW YORK, NY 10153
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | 2662.2215 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Restricted Stock Units (Share Payout) (1) | 11/1/2023 (2) | 11/1/2023 | Class A Common Stock | 871.0 | (3) | D | |
| Restricted Stock Units (Share Payout) (1) | 11/1/2023 (4) | 11/1/2023 | Class A Common Stock | 3440.0 | (3) | D | |
| Restricted Stock Units (Share Payout) (1) | (5) | 11/1/2024 | Class A Common Stock | 1494.0 | (3) | D | |
| Restricted Stock Units (Share Payout) (1) | 11/1/2024 (6) | 11/1/2024 | Class A Common Stock | 5813.0 | (3) | D | |
| Restricted Stock Units (Share Payout) (1) | (7) | 11/3/2025 | Class A Common Stock | 4914.0 | (3) | D | |
| Stock Option (Right to Buy) | (8) | 9/4/2028 | Class A Common Stock (8) | 3455.0 | $138.15 | D | |
| Stock Option (Right to Buy) | (9) | 9/3/2029 | Class A Common Stock (9) | 5832.0 | $199.49 | D | |
| Stock Option (Right to Buy) | (10) | 9/3/2030 | Class A Common Stock (10) | 10660.0 | $218.06 | D | |
| Stock Option (Right to Buy) | (11) | 9/2/2031 | Class A Common Stock (11) | 9108.0 | $344.06 | D | |
| Stock Option (Right to Buy) | (12) | 9/6/2032 | Class A Common Stock (12) | 15363.0 | $246.15 | D | |
| Explanation of Responses: |
| (1) | Restricted Stock Units ("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 unless otherwise indicated. 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, are accompanied by dividend equivalent rights that will be payable at the time of the payout of the related shares. |
| (2) | RSUs from annual grant dated September 3, 2020. Assuming continued employment, these RSUs will vest and be paid out as follows: 871 on November 1, 2023. |
| (3) | Not applicable. |
| (4) | RSUs from non-annual grant dated September 3, 2020. Assuming continued employment, these RSUs will vest and be paid out in a single installment on November 1, 2023. |
| (5) | RSUs from annual grant dated September 2, 2021. Assuming continued employment, these RSUs will vest and be paid out as follows: 747 on November 1, 2023; and 747 on November 1, 2024. |
| (6) | RSUs from non-annual grant dated September 2, 2021. Assuming continued employment, these RSUs will vest and be paid out in a single installment on November 1, 2024. |
| (7) | RSUs from annual grant dated September 6, 2022. Assuming continued employment, these RSUs will vest and be paid out as follows: 1,638 on November 1, 2023; 1,638 on November 1, 2024; and 1,638 on November 3, 2025. |
| (8) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 3,455 shares exercisable from and after January 1, 2022. |
| (9) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 2,916 shares exercisable from and after January 1, 2022; and 2,916 shares exercisable from and after January 1, 2023. |
| (10) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 3,553 shares exercisable from and after January 1, 2022; 3,553 shares exercisable from and after January 1, 2023; and 3,554 shares exercisable from and after January 1, 2024. |
| (11) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 3,036 shares exercisable from and after January 1, 2023; 3,036 shares exercisable from and after January 1, 2024; and 3,036 shares exercisable from and after January 1, 2025. |
| (12) | Stock options granted pursuant to Fiscal 2002 Share Incentive Plan in respect of: 5,121 shares exercisable from and after January 1, 2024; 5,121 shares exercisable from and after January 1, 2025; and 5,121 shares exercisable from and after January 1, 2026. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
de la Faverie Stephane
C/O THE ESTEE LAUDER COMPANIES INC.
767 FIFTH AVENUE
NEW YORK, NY 10153 |
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| Executive Group President |
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Signatures
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| Stephane de la Faverie, by Maureen Sladek, attorney-in-fact | | 11/23/2022 |
| **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 control number. |
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