-----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, NqmT6UQKXUU324pjjKJ4OAHkThp+8UmyBgwsYnZ46Rvn2MDe2ETENk/BvPBtbCpo yxgWTW163rkZjRf4IvixDw== 0000942617-97-000004.txt : 19971127 0000942617-97-000004.hdr.sgml : 19971127 ACCESSION NUMBER: 0000942617-97-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971112 FILED AS OF DATE: 19971126 SROS: NYSE 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: 4 SEC ACT: SEC FILE NUMBER: 001-14064 FILM NUMBER: 97728523 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 COMPANY DATA: COMPANY CONFORMED NAME: LAUDER RONALD S CENTRAL INDEX KEY: 0000942617 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STE 4200 CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125724200 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10153 4 1 FORM 4 - 11/12/1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Lauder, Ronald S. The Estee Lauder Companies Inc. 767 Fifth Avenue New York, NY 10153 2. Issuer Name and Ticker or Trading Symbol The Estee Lauder Companies Inc. EL 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 11/12/1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director (X) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman of Clinique Laboratories, Inc. and Estee Lauder International, Inc. 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Class A Common Stock |11/1/1|S | |1,237,694 |D |$44.4375 | | | | |997 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |11/1/1|J (1| |168,777 |D | | | | | |997 |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |11/1/1|J (2| |168,777 |D | |11,169,502 (3,4) |D | | |997 |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock | | | | | | |1,591 (4) |I |By Descen. of RSL 1966 Trus| | | | | | | | | |t (5,6) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |11/1/1|P (7| |3,150,495 |A |$44.4375 | |I |By Estee Lauder 1994 Trust | |997 |) | | | | | | |(5,8) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock |11/12/|J (9| |5,500,000 |D | |5,405,548 (4) |I |By Estee Lauder 1994 Trust | |1997 |) | | | | | | |(5,8) | - -----------------------------------------------------------------------------------------------------------------------------------| Class A Common Stock | | | | | | |7,692 (4) |I |By Lauder & Sons L.P. (5,10| | | | | | | | | |) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Class B Common Stock |1:1 |11/1/|J (1| |168,777 |A |Immed|NA |Class A Comm|168,777|NA | |D | | | |1997 |) | | | |. | |on Stock | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 |11/1/|J (2| |168,777 |A |Immed|NA |Class A Comm|168,777|NA |18,769,415(4|D | | | |1997 |) | | | |. | |on Stock | | |) | | | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|1,591 |NA |1,591 (4) |I |By Descen. o| | | | | | | |. | |on Stock | | | | |f RSL 1966 T| | | | | | | | | | | | | | |rust (5,6) | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|6,094,9|NA |6,094,926(4)|I |By Estee Lau| | | | | | | |. | |on Stock |26 | | | |der 1994 Tru| | | | | | | | | | | | | | |st (5,8) | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common Stock |1:1 | | | | | |Immed|NA |Class A Comm|1,923,0|NA |1,923,077(4)|I |By Lauder & | | | | | | | |. | |on Stock |77 | | | |Sons L.P. (5| | | | | | | | | | | | | | |,10) | - -----------------------------------------------------------------------------------------------------------------------------------| Put Option (obligation|1:1 |11/1/|P (1| |337,554 |A |Immed|6/30/|Class A Comm|337,554|(11) |937,554 (4) |D | | to acquire Class A Co| |1997 |1) | | | |. |2000 |on Stock | | | | | | mmon Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Call Option (obligatio|1:1 |11/1/|S (1| |337,554 |D |Immed|6/30/|Class B Comm|337,554|(11) |937,554 (4) |D | | n to sell Class B Comm| |1997 |1) | | | |. |2000 |on Stock | | | | | | on Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Call Option (right to |1:1 |11/1/|P (1| |337,554 |A |Immed|6/30/|Class A Comm|337,554|(11) |937,554 (4) |D | | acquire Class A Common| |1997 |1) | | | |. |2000 |on Stock | | | | | | Stock) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Put Option (right to s|1:1 |11/1/|S (1| |337,554 |D |Immed|6/30/|Class B Comm|337,554|(11) |937,554 (4) |D | | ell Class B Common Sto| |1997 |1) | | | |. |2000 |on Stock | | | | | | ck) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: 1. The Reporting Person exchanged 168,777 shares of Class A Common Stock for 168,777 shares of Class B Common Stock held by his daughter, Aerin Lauder Zinterhofer. 2. The Reporting Person exchanged 168,777 shares of Class A Common Stock for 168,777 shares of Class B Common Stock held by his daughter, Jane Lauder. 3. The Reporting Person has a short position of 8,333,333 shares of Class A Common Stock established prior to the Issuer's initial public offering. 4. The amount of securities reported as beneficially owned at the end of the month actually reflects securities so owned at November 25, 1997. If such amount is different than the amount beneficially owned at November 30, 1997, the Reporting Person will amend his filing. 5. The Reporting Person disclaims beneficial ownership to the extent he does not have a pecuniary interest in such securities. 6. The Reporting Person is the trustee of The Descendants of Ronald S. Lauder 1966 Trust. 7. On November 1, 1997, The Estee Lauder 1994 Trust acquired and aggregate of 3,150,495 shares of Class A Common Stock from members of the Lauder family and LAL Family Partners L.P., including the 1,237,694 shares sold by the Reporting Person and reported on the front of this Form 4. See the Form 4 filed by The Estee Lauder 1994 Trust for additional details. 8. The Reporting Person is co-Trustee and beneficiary of The Estee Lauder 1994 Trust. 9. On November 12, 1997, The Estee Lauder 1994 Trust closed the short position of 5,500,000 shares of Class A Common Stock that was established prior to the Issuer's initial public offering by delivering 5,500,000 shares to Leonard A. Lauder in a transaction exempt from Section 16(b) of the Securities Exchange Act of 1934. 10. The Reporting Person is a general partner of Lauder & Sons L.P. The Reporting Person is also a Trustee of The 1995 Estee Lauder RSL Trust, which is also a general partner of Lauder & Sons L.P. 11. The Reporting Person granted an option to acquire an aggregate of up to 337,554 shares of Class B Common Stock for a like number of shares of Class A Common Stock to Richard D. Parsons, as Trustee of the Trust f/b/o Aerin Lauder and Jane Lauder u/a/d December 15, 1976, created by Estee and Joseph H. Lauder, as grantors (the "AL/JL Trust"), in exchange for the granting by the AL/JL Trust to the Reporting Person of an option to acquire an aggregate of up to 337,554 shares of Class A Common Stock for a like number of shares of Class B Common Stock. To the extent either the Reporting Person or the AL/JL Trust exercise the options he or it received, the number of shares which may be acquired upon the exercise of the other party's corresponding options is reduced on a share-for-share basis. SIGNATURE OF REPORTING PERSON Ronald S. Lauder DATE 11/25/97 -----END PRIVACY-ENHANCED MESSAGE-----