-----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, QYeLbue7cJKBA5H2nCdO8ew0LgHXOuPZsbDuT/XXlXoHmH3GhBFtaoJGfr+0tvib +cwksvXp0uZBUoDnHAXDRA== 0000909518-07-000079.txt : 20070202 0000909518-07-000079.hdr.sgml : 20070202 20070202160536 ACCESSION NUMBER: 0000909518-07-000079 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070202 DATE AS OF CHANGE: 20070202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LAUDER LEONARD A CENTRAL INDEX KEY: 0001006352 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: C/O ESTEE LAUDER COMPANIES INC CITY: NEW YORK STATE: NY ZIP: 10153 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10153 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48157 FILM NUMBER: 07576605 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 SC 13G/A 1 llauder2-2_13ga11.txt ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------- SCHEDULE 13G (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C) AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(B) ----------- (AMENDMENT NO. 11)* THE ESTEE LAUDER COMPANIES INC. - -------------------------------------------------------------------------------- (NAME OF ISSUER) CLASS A COMMON STOCK, PAR VALUE $.01 PER SHARE 518439 10 4 - ------------------------------------- --------------------------------------- (TITLE OF CLASS OF SECURITIES) (CUSIP NUMBER) DECEMBER 31, 2006 - -------------------------------------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: [ ] RULE 13D-1(B) [ ] RULE 13D-1(C) [X] RULE 13D-1(D) ---------- *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Continued on Following Pages Page 1 of 8 Pages Exhibit Index Appears on Page 8 ================================================================================
- --------------------------------------------------------------------- --------------------------------------------------- CUSIP No. 518439 10 4 13G Page 2 of 8 - --------------------------------------------------------------------- --------------------------------------------------- - ------------------------- --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS: LEONARD A. LAUDER S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ------------------------- --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [_] (B) [X] - ------------------------- --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------- --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES OF AMERICA - ------------------------------- ----- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 52,821,011 SHARES ----- --------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 790,220 OWNED BY ----- --------------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 52,821,011 REPORTING ----- --------------------------------------------------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 790,220 - ------------------------- --------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 53,611,231** SEE ITEM 4 REPORTING PERSON: - ------------------------- --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: ** SEE ITEM 4 [X] - ------------------------- --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 31.6% ** SEE ITEM 4 - ------------------------- --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON: IN - ------------------------- ---------------------------------------------------------------------------------------------------------
Page 2 of 8 Pages ITEM 1. IDENTITY OF ISSUER (a) The name of the issuer is The Estee Lauder Companies Inc. (the "Issuer"). (b) The address of the Issuer's principal executive office is 767 Fifth Avenue, New York, New York 10153. ITEM 2. IDENTITY OF PERSON FILING (a)-(c) This report is being filed by Leonard A. Lauder with a business address of 767 Fifth Avenue, New York, New York 10153 (the "Reporting Person"). The Reporting Person is a citizen of the United States of America. (d)-(e) This report covers the Issuer's Class A Common Stock, par value $.01 per share (the "Class A Common Stock"). The CUSIP number of the Class A Common Stock is 518439 10 4. ITEM 3. Not Applicable. ITEM 4. OWNERSHIP (a) As of December 31, 2006, the Reporting Person beneficially owned 53,611,231 shares of Class A Common Stock as follows: (i) 4,619,169 shares of Class A Common Stock held directly by the Reporting Person; (ii) 2,829,302 shares of Class A Common and 42,705,540 shares of Class B Common Stock, par value $.01 per share, of the Issuer (the "Class B Common Stock"), held indirectly as the majority stockholder of LAL Family Corporation, which is the sole general partner of LAL Family Partners L.P.; (iii) 40,220 shares of Class B Common Stock held indirectly as co-trustee of the Estee Lauder 2002 Trust; (iv) 750,000 shares of Class A Common Stock held indirectly as co-trustee of the American Art Foundation ("AAF"); and (v) 2,667,000 shares of Class A Common Stock subject to exercisable employee stock options held by the Reporting Person. The shares of Class A Common Stock beneficially owned by the Reporting Person exclude 390,000 shares of Class A Common Stock owned by his wife and 125,000 shares of Class A Common Stock subject to exercisable employee stock options held by his wife, for which the Reporting Person disclaims beneficial ownership. The shares owned by the Reporting Person's wife are not covered by the Stockholders' Agreement (as defined below). The Reporting Person disclaims beneficial ownership of the shares owned by the AAF and such shares are not covered by the Stockholders' Agreement. (b) Each share of Class B Common Stock is convertible at the option of the holder into one share of Class A Common Stock and is automatically converted into one share of Class A Common Stock upon transfer to a person who is not a Permitted Transferee, as that term is defined in the Issuer's Page 3 of 8 Pages Certificate of Incorporation. Assuming conversion of all such shares of Class B Common Stock beneficially owned by the Reporting Person, the Reporting Person would beneficially own 53,611,231 shares of Class A Common Stock, which would constitute 31.6% of the number of shares of Class A Common Stock outstanding. Each share of Class A Common Stock entitles the holder to one vote on each matter submitted to a vote of the Issuer's stockholders and each share of Class B Common Stock entitles the holder to ten votes on each such matter, including the election of directors of the Issuer. Assuming no conversion of any of the outstanding shares of Class B Common Stock, the 10,865,471 shares of Class A Common Stock and the 42,745,760 shares of Class B Common Stock beneficially owned by the Reporting Person constitute 46.1%of the aggregate voting power of the Issuer. (c) The Reporting Person has sole voting and dispositive power with respect to: (i) 4,619,169 shares of Class A Common Stock held directly by the Reporting Person; (ii) 2,829,302 shares of Class A Common Stock and the 42,705,540 shares of Class B Common Stock held indirectly as the majority stockholder of LAL Family Corporation, which is the sole general partner of LAL Family Partners L.P.; and (iii) 2,667,000 shares of Class A Common Stock subject to exercisable employee stock options held by the Reporting Person. The Reporting Person shares voting and dispositive power with (a) Ronald S. Lauder, as co-trustees of The Estee Lauder 2002 Trust, with respect to 40,220 shares of Class B Common Stock owned by The Estee Lauder 2002 Trust and (b) William P. Lauder and Joan Krupskas, as co-trustees of the AAF, with respect to 750,000 shares of Class A Common Stock owned by the AAF. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON William P. Lauder and Gary M. Lauder, as stockholders of LAL Family Corporation, which is the sole general partner of LAL Family Partners L.P., have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the 2,829,302 shares of Class A Common Stock and the 42,705,540 shares of Class B Common Stock owned by LAL Family Partners L.P. Ronald S. Lauder, as a co-trustee and beneficiary of The Estee Lauder 2002 Trust, and Ira T. Wender, as a co-trustee of The Estee Lauder 2002 Trust, have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the 40,220 shares of Class B Common Stock owned by The Estee Lauder 2002 Trust. The AAF, of which the Reporting Person is a co-trustee, has the right to receive or the power to direct the receipt of Page 4 of 8 Pages dividends from, or the proceeds from the sale of, the 750,000 shares of Class A Common Stock owned by the AAF. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP The Reporting Person is a party to a Stockholders' Agreement (the "Stockholders' Agreement"), dated November 22, 1995, as amended, among the parties listed on Exhibit A attached hereto. The stockholders who are parties to the Stockholders' Agreement have agreed to vote in favor of the election of Leonard A. Lauder and Ronald S. Lauder and one designee of each as directors of the Issuer. The Stockholders' Agreement also contains certain limitations on the transfer of shares of Class A Common Stock. Each stockholder who is a party to the Stockholders' Agreement has agreed to grant to the other parties a right of first offer to purchase shares of Class A Common Stock of the stockholder in the event the stockholder intends to sell to a person (or group of persons) who is not a Lauder Family Member, as defined therein, except in certain circumstances, such as sales in a widely distributed underwritten public offering or sales made in compliance with Rule 144. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable. ITEM 10. CERTIFICATION Not Applicable. Page 5 of 8 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 29, 2007 /s/ Leonard A. Lauder ---------------------------- Leonard A. Lauder Page 6 of 8 Pages EXHIBIT INDEX ------------- Exhibit A -- List of Parties to the Stockholders' Agreement Page 7 of 8 Pages EX-99 2 llauder2-2ex_a.txt EXHIBIT A --------- List of Parties to the Stockholders' Agreement ---------------------------------------------- Leonard A. Lauder, (a) individually and (b) as Trustee of The Estee Lauder 2002 Trust Ronald S. Lauder, (a) individually, (b) as Trustee of The Descendents of Ronald S. Lauder 1966 Trust and (c) as Trustee of The Estee Lauder 2002 Trust William P. Lauder, (a) individually, (b) as Trustee of the 1992 GRAT Remainder Trust f/b/o William Lauder and (c) as Trustee of the 1992 GRAT Remainder Trust f/b/o Gary Lauder Gary M. Lauder, (a) individually, (b) as Trustee of the 1992 GRAT Remainder Trust f/b/o William Lauder, (c) as Trustee of the 1992 GRAT Remainder Trust f/b/o Gary Lauder, (d) as custodian under the New York Uniform Transfers to Minors Act for the benefit of Danielle Lauder, (e) as custodian under the New York Uniform Transfers to Minors Act for the benefit of Rachel Lauder and (f) as Trustee of the Gary M. Lauder Revocable Trust u/a/d as of August 10, 2000, Gary M. Lauder, Settlor LAL Family Partners L.P. Joel S. Ehrenkranz, (a) as Trustee of the 1992 GRAT Remainder Trust f/b/o William Lauder and (b) as Trustee of the 1992 GRAT Remainder Trust f/b/o Gary Lauder Richard D. Parsons, (a) as Trustee of the Trust f/b/o Aerin Lauder and Jane Lauder u/a/d December 15, 1976, created by Estee Lauder and Joseph H. Lauder, as Grantors, (b) as Trustee of the Trust f/b/o Aerin Lauder and Jane Lauder u/a/d December 15, 1976, created by Ronald S. Lauder, as Grantor, (c) as Trustee of the Aerin Lauder Zinterhofer 2000 Revocable Trust u/a/d April 24, 2000, Aerin Lauder Zinterhofer, as Grantor , (d) as Trustee of the Aerin Lauder Zinterhofer 2004 GRAT and (e) as Trustee of the Jane A. Lauder 2003 Revocable Trust u/a/d November 6, 2003, Jane A. Lauder, as Grantor. Ira T. Wender, as Trustee of The Estee Lauder 2002 Trust The Estee Lauder Companies Inc. The Ronald S. Lauder Foundation The Rockefeller Trust Company (Delaware) as Trustee of the Aerin Lauder Zinterhofer 2004 GRAT Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----