# Insider & 5% Holder Ownership Data API - SEC Form DEF 14A > Database of beneficial ownership data from proxy statements filed on SEC Form DEF 14A, including the security ownership table with 5% holders, directors and executive officers, shares that holders can acquire within 60 days, percent of class and voting power, pledged shares, insider group totals, controlled company status, hedging and pledging policies, unvested stock awards, registration rights and stockholders agreements, 5% holders of funds and trustee fund holdings. Source: https://sec-api.io/docs/insider-5pct-holder-ownership-data-api The Insider & 5% Holder Ownership Data API shows who owns and controls the shares of a public company or fund, how much stock its directors and executive officers hold, and whether insiders put their holdings at risk with pledges or hedges. The data covers the share ownership of insiders and 5% holders from 1994 to the present. Each record covers one proxy statement. Search queries on any field return the matching records in JSON format through one API endpoint. The API extracts each row of the table of the security ownership of certain beneficial owners and management, the date and the share counts that the percentages use, the votes per share of each class, the shares that holders pledged as security for loans, and the company policies on hedging and pledging. It also extracts the agreements that give large holders registration rights, board seats or voting commitments, and the stock awards of the executives that had not vested at the end of the fiscal year. For funds, the API extracts the owners of 5% or more of each fund and share class and the dollar ranges of fund shares that each trustee owns. The pledged shares and the unvested stock awards start in 2007. The hedging policies start with fiscal years that begin on or after July 1, 2019. In both cases, this is when the SEC first required the disclosure. Data sample · Insider & 5% holder ownership | Filed at | Ticker | Company | Type | Meeting | Ownership date | Holder rows | 5% holders | Largest holder | Largest stake (%) | Insider group (%) | Insider voting power (%) | Pledged shares | Controlled | Hedging | Pledging | Agreements | Fund 5% holders | CIK | Accession no. | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 2026-10-07 | CPB | CAMPBELL'S Co | operating company | 2026-11-17 | 2026-09-23 | 22 | 5 | Mary Alice D. Malone, Jr. | 18.03 | 20.55 | – | – | – | prohibited | prohibited | 0 | 0 | 16732 | 0000016732-26-000031 | | 2026-10-06 | – | Franklin Templeton ETF Trust | investment company | 2026-11-18 | 2026-09-24 | 0 | 0 | – | – | – | – | – | – | not stated | not stated | 0 | 6 | 1655589 | 0002071844-26-001347 | | 2026-10-06 | INTA | Intapp, Inc. | operating company | 2026-11-17 | 2026-09-22 | 16 | 4 | Entities affiliated with Anderson | 22.36 | 11.87 | – | – | – | prohibited | prohibited | 2 | 0 | 1565687 | 0001140361-26-038804 | | 2026-10-06 | SNDK | Sandisk Corp | operating company | 2026-11-17 | 2026-09-04 | 15 | 4 | Vanguard Capital Management | 7.6 | – | – | – | – | prohibited | prohibited | 1 | 0 | 2023554 | 0001308179-26-000423 | | 2026-10-06 | AVT | AVNET INC | operating company | 2026-11-20 | 2026-09-02 | 18 | 3 | BlackRock, Inc. | 9.5 | 2 | – | – | – | prohibited | restricted | 0 | 0 | 8858 | 0001104659-26-114038 | | 2026-10-05 | WDC | WESTERN DIGITAL CORP | operating company | 2026-11-20 | 2026-09-08 | 17 | 4 | BlackRock, Inc. | 8.5 | – | – | – | – | prohibited | prohibited | 0 | 0 | 106040 | 0001628280-26-064909 | | 2026-10-05 | SENEA | Seneca Foods Corp | operating company | 2026-11-04 | 2026-09-14 | 55 | 31 | Marilyn W. Kayser | 41.27 | 40.68 | – | – | – | not stated | not stated | 0 | 0 | 88948 | 0001437749-26-031991 | | 2026-10-05 | MSTR | Strategy Inc | operating company | 2026-10-28 | 2026-09-15 | 31 | 1 | Michael J. Saylor | 99.9 | 99.9 | 33.2 | – | – | not stated | not stated | 0 | 0 | 1050446 | 0001193125-26-413159 | | 2026-10-01 | – | Madison ETFs Trust | investment company | 2026-11-24 | 2026-09-25 | 0 | 0 | – | – | – | – | – | – | not stated | not stated | 0 | 8 | 1976877 | 0001753926-26-001884 | | 2026-10-01 | SYY | SYSCO CORP | operating company | 2026-11-13 | 2026-09-16 | 23 | 4 | BlackRock, Inc. and certain affiliates | 7.72 | 0.55 | – | – | – | prohibited | prohibited | 0 | 0 | 96021 | 0000096021-26-000037 | | 2026-09-30 | EL | ESTEE LAUDER COMPANIES INC | operating company | 2026-11-17 | 2026-07-31 | 30 | 6 | LAL Family Corporation | 60.6 | 35.2 | 29 | 14,037,692 | Yes | restricted | restricted | 2 | 0 | 1001250 | 0001104659-26-112176 | | 2026-09-25 | ORCL | ORACLE CORP | operating company | 2026-11-18 | 2026-09-21 | 17 | 0 | Lawrence J. Ellison | 38.2 | 38.4 | – | 413,000,000 | – | prohibited | restricted | 0 | 0 | 1341439 | 0001193125-26-402816 | | 2026-09-25 | SLE | Super League Enterprise, Inc. | operating company | 2026-10-16 | 2026-08-17 | 10 | 2 | Entities affiliated with Evolution Capital Management LLC | 9.99 | – | – | – | – | not stated | not stated | 5 | 0 | 1621672 | 0001437749-26-031210 | | 2026-09-23 | – | FENIMORE ASSET MANAGEMENT TRUST | investment company | 2026-11-06 | 2026-09-11 | 0 | 0 | – | – | – | – | – | – | not stated | not stated | 0 | 15 | 797136 | 0001580642-26-006448 | | 2026-09-17 | FOX | Fox Corp | operating company | 2026-11-04 | 2026-09-14 | 17 | 6 | LGC Holdco, LLC | 38.76 | 38.76 | – | 37,002,060 | – | prohibited | prohibited | 0 | 0 | 1754301 | 0001628280-26-062480 | The data comes from proxy statements filed on SEC Form DEF 14A. A company files a proxy statement when it asks shareholders to vote by proxy at a shareholder meeting. The proxy statement contains a table of the security ownership of certain beneficial owners and management. The table lists each owner of more than 5% of a voting class, each director, each named executive officer, and all directors and executive officers as a group. The data is extracted from the text of the proxy statement: the security ownership table and its footnotes, the voting section, the corporate governance section on hedging and pledging, the Outstanding Equity Awards at Fiscal Year-End table, the section on related person transactions, and, for funds, the sections on principal shareholders and trustee ownership. The data is provided in a structured JSON format. The extracted information includes: - Ownership date, share classes, shares outstanding and votes per share - Each holder row of the security ownership table: name, role, address, share class, shares beneficially owned, shares that the holder can acquire within 60 days, percent of class and percent of the total voting power - Sole and shared voting and investment power, and the Schedule 13D or 13G filing that the company names as the source of the data of a 5% holder - Shares that holders pledged as security for loans - Totals of all directors and executive officers as a group, with the number of persons - Controlled company status, the controlling holder and its voting power - Hedging and pledging policies: status, covered persons and pre-approval - Stock awards of the named executive officers that had not vested at the end of the fiscal year, with their market value - Registration rights, stockholders, voting, investor rights and lock-up agreements with large holders - For funds: owners of 5% or more of each fund and share class, and the dollar ranges of fund shares owned by each trustee - Short quotes from the proxy statement that support key values ## API Endpoint Search and retrieve the beneficial ownership data of proxy statements by sending `POST` HTTP requests with search parameters as JSON-formatted payload to the following API endpoint: https://api.sec-api.io/insider-5pct-holder-ownership Supported HTTP methods: `POST` Request and response content type: `JSON` ## Authentication To authenticate your API requests, use the API key available in your [user profile](https://sec-api.io/login). You can use your API key in one of two ways. Choose the method that best fits your implementation: - **Authorization Header:** Include your API key as an `Authorization` header in your `POST` requests. For instance, before sending a `POST` request to `https://api.sec-api.io/insider-5pct-holder-ownership`, ensure the header is set as follows: `Authorization: YOUR_API_KEY`. - **Query Parameter:** Alternatively, append your API key directly to the URL as a query parameter. For example, when making `POST` requests, use the URL `https://api.sec-api.io/insider-5pct-holder-ownership?token=YOUR_API_KEY` instead of the base endpoint. ## Request Parameters Search the beneficial ownership data of proxy statements by sending a search query to the API. All fields of the extracted data are searchable. For a complete list of searchable fields, refer to the [Response Structure section](#response-format) below. Send a search query as a JSON-formatted payload to the API using the structure explained below. **Request parameters:** - query: string Your search criteria in the format `field:value` defining the fields to search in and the values to search for in those fields. The query is written in Lucene syntax and supports boolean operators (AND, OR, NOT), range queries across date and number fields using square brackets (`[`, `]`), wildcards (`*`) and search expression grouping with normal brackets (`(`, `)`). More [information on Lucene is available here](https://sec-api.io/resources/lucene-query-syntax-overview). Query examples are [available below.](#request-examples) - from: integer Specifies the starting position of your results, allowing for pagination. For instance, set `from` to 50 to skip the first 50 results. Default: 0. Maximum: 10,000, which is also the cap for the maximum number of results returned per `query`. To retrieve all results in your search universe, increment `from` by the value of the `size` parameter (e.g., 50) until no more results are returned or the 10,000 limit is reached. For example, use 0, 50, 100, and so on. If your `query` locates more than 10,000 results, consider narrowing your search by refining your filter criteria, such as using a date range filter to iterate over months or years. One approach would be to search for items with a `filedAt` date range filter, e.g., `filedAt:[2025-01-01 TO 2025-01-31]` (all filings from January 2025), then paginate through the results by incrementing `from`, and once completed, repeat the process for the next month, and so on. - size: integer The number of results to be returned per request. Default: 50. Maximum: 50. - sort: array An array of objects that specify how the returned results are sorted. For example, `[{ "filedAt": { "order": "desc" } }]` sorts the results by the filing date, most recent filings first. Set `order` to `asc` to sort in ascending order. ### Request Examples Find all proxy statements in which the directors and executive officers as a group own 25% or more of a share class, with the result sorted by the filing date, starting with the most recent filings. Insiders with a large stake have a strong influence on the outcome of shareholder votes. Increment the `from` parameter by 50 on each subsequent request to paginate through the results. ```json { "query": "insiderGroup.percentOfClass:[25 TO *]", "from": "0", "size": "50", "sort": [{"filedAt":{"order":"desc"}}] } ``` Find all proxy statements filed in 2026 in which a director, an executive officer or a large holder pledged shares as security for a loan. If the holder does not meet the loan terms, the lender can sell the pledged shares. Such forced sales can add pressure on the share price. ```json { "query": "holders.pledgedShares:[1 TO *] AND filedAt:[2026-01-01 TO 2026-12-31]", "from": "0", "size": "50", "sort": [{"filedAt":{"order":"desc"}}] } ``` ## Response Structure **Response type:** JSON The API response represents a JSON object with two fields: `total` (object) and `data` (array). The `total.value` field indicates the total number of results matching your search query. The `data` array holds up to 50 items per request. Each item represents the extracted data from one proxy statement filed on Form DEF 14A. The data contains only facts that the proxy statement states. A value of `null` or `not_stated`, or an empty array, means that the proxy statement does not state the fact. The security ownership table has one item in `holders` for each holder and share class. Percentages are numbers from 0 to 100 and are copied as printed. Dates use the format `YYYY-MM-DD`, or `YYYY-MM` and `YYYY` when the text gives only the month or the year. Amounts are in USD. Each item has the following structure: - accessionNo: string Accession number of the filing, e.g. `0001104659-26-112176`. - formType: string EDGAR form type. Possible values: `DEF 14A`. - filedAt: date Date and time at which SEC EDGAR accepted the filing, e.g. `2026-09-30T10:00:36-04:00`. - periodOfReport: date Period of report as stated in the EDGAR header of the filing, e.g. `2026-11-17`. For a proxy statement on Form DEF 14A, this is usually the date of the shareholder meeting. This field is `null` when the EDGAR header gives no period. - entities: array of objects Companies named in the EDGAR header of the filing. A proxy statement filed by the company has one entity, marked `(Filer)`. The company or fund that holds the meeting is always the first entity. A proxy statement for several funds can list one entity per fund. - cik: string Central Index Key (CIK) of the entity, without leading zeros, e.g. `1001250`. - ticker: string Trading symbol of the common stock of the entity, e.g. `EL`. This field is `null` when the entity has no symbol, for example a fund trust with several series. - companyName: string Name of the entity as in EDGAR, with its role in the filing in brackets, for example `(Filer)`, e.g. `ESTEE LAUDER COMPANIES INC (Filer)`. - irsNo: string Employer identification number of the entity, assigned by the Internal Revenue Service (IRS), e.g. `112408943`. - fiscalYearEnd: string Last day of the fiscal year of the entity, in the format `MMDD`, e.g. `0630`. - stateOfIncorporation: string Code of the state or country in which the entity is incorporated, e.g. `DE`. - sic: string Standard Industrial Classification (SIC) code and industry title of the entity, as in EDGAR, e.g. `2844 Perfumes, Cosmetics & Other Toilet Preparations`. - act: string Securities law under which the entity files, as in EDGAR, e.g. `34`. `34` is the Securities Exchange Act of 1934. - fileNo: string SEC file number of the entity, e.g. `001-14064`. - filmNo: string Film number that SEC EDGAR assigned to the filing document of the entity, e.g. `261425814`. - meetingDate: date Date of the shareholder meeting, e.g. `2026-11-17`. - url: string URL of the main filing document on SEC EDGAR. - registrantType: string Type of the company that files the proxy statement. `operating_company` is a company with business operations. `investment_company` is a fund, for example a mutual fund, an exchange-traded fund (ETF) or a closed-end fund. Possible values: `operating_company`, `investment_company`. - ownershipTable: object Basis of the security ownership table: the date of the holdings and the share classes with the number of shares outstanding. The company uses these share counts to calculate the percentages in the table. - asOfDate: date Date as of which the table states the holdings, e.g. `2026-07-31`. - classes: array of objects Share classes in the table. One item per class. - className: string Name of the share class as printed, e.g. `Class A Common Stock`. - sharesOutstanding: number Number of shares of the class outstanding on the date used for the percentages, as printed, e.g. `247291223`. - votesPerShare: number Number of votes per share of the class, as printed, e.g. `1`. This field is `0` for a class without voting rights. - holders: array of objects Rows of the security ownership table of certain beneficial owners and management. One item per holder and share class. The rows include each owner of more than 5% of a voting class, each director and director candidate, and each named executive officer. A named executive officer is an executive whose pay the proxy statement reports in detail. The totals of all directors and executive officers as a group are in `insiderGroup`. A beneficial owner holds the right to vote or sell the shares, also when another person, for example a broker, holds them on record. - name: string Name of the holder as printed, e.g. `LAL Family Corporation`. - holderType: string Role of the holder. A director or executive officer who owns more than 5% has the director or officer role. `five_percent_holder` is a holder of more than 5% of a class who is not a director or executive officer. `director_or_executive_officer` is a row of the table of directors and executive officers for which the proxy statement does not state the role. Possible values: `five_percent_holder`, `director`, `named_executive_officer`, `director_and_executive_officer`, `executive_officer`, `director_or_executive_officer`, `other`. - address: string Address of the holder as printed, e.g. `767 Fifth Avenue, New York, New York 10153`. The proxy statement usually gives an address only for owners of more than 5%. - shareClass: string Share class of the row, as printed, e.g. `Class B Common Stock`. - sharesBeneficiallyOwned: number Number of shares beneficially owned, as printed, e.g. `69402943`. In most tables, the number includes the shares that the holder can acquire within 60 days. - sharesAcquirableWithin60Days: number Number of shares that the holder can acquire within 60 days after the ownership date, for example by the exercise of stock options or the vesting of stock units, e.g. `103217`. The value comes from a column or a footnote. When the footnote gives separate numbers for options and for stock units, the value is their sum. - percentOfClass: number Percentage of the class beneficially owned, as printed, e.g. `60.6`. This field is `null` when the table shows less than 1%; then `belowOnePercent` is `true`. - belowOnePercent: boolean `true` when the table shows an asterisk or "less than 1%" for the holder instead of a percentage. - percentOfVotingPower: number Percentage of the total voting power of all classes held by the holder, as printed, e.g. `49.8`. Companies with share classes that have different votes per share give this value. The value is on the first row of the holder. - soleVotingPower: number Number of shares for which the holder has the sole right to vote, as printed, e.g. `8515960`. - sharedVotingPower: number Number of shares for which the holder shares the right to vote with other persons, as printed, e.g. `0`. - soleInvestmentPower: number Number of shares that the holder alone can sell or otherwise dispose of, as printed, e.g. `8515960`. - sharedInvestmentPower: number Number of shares that the holder can sell or dispose of together with other persons, as printed, e.g. `0`. - pledgedShares: number Number of shares that the holder pledged as security for a loan, as printed, e.g. `9268846`. A lender can sell pledged shares when the holder does not repay the loan. The value is `0` when the proxy statement states that the holder has no pledged shares. - sourceFiling: string Filing that the company names as the source of the data for an owner of more than 5%. Possible values: `schedule_13d`, `schedule_13g`, `form_13f`, `form_4`, `other`. - sourceFiledDate: date Date of the source filing named in `sourceFiling`, e.g. `2026-07-28`. - insiderGroup: array of objects Totals of all directors and executive officers as a group. One item per share class. - shareClass: string Share class of the row, as printed, e.g. `Class A Common Stock`. - personCount: integer Number of persons in the group, as printed, e.g. `22`. - sharesBeneficiallyOwned: number Number of shares beneficially owned by the group, as printed, e.g. `1504560`. - sharesAcquirableWithin60Days: number Number of shares that the group can acquire within 60 days, as printed, e.g. `220339`. When the table gives separate numbers for options and for stock units, the value is their sum. - percentOfClass: number Percentage of the class owned by the group, as printed, e.g. `0.6`. This field is `null` when the table shows less than 1%. - belowOnePercent: boolean `true` when the table shows an asterisk or "less than 1%" for the group. - percentOfVotingPower: number Percentage of the total voting power held by the group, as printed, e.g. `29`. - pledgedShares: number Number of shares pledged by the members of the group, as printed, e.g. `0`. - controlledCompany: object Control of the company by one holder or group. A listed company in which one holder or group has more than 50% of the votes for the election of directors can use the controlled company exemptions of the stock exchange, for example from the rule that most directors must be independent. - isControlledCompany: boolean `true` when the proxy statement states that the company is a controlled company under the rules of its stock exchange. `false` when it states that the company is not a controlled company. - controllingHolder: string Name of the holder or group that controls the company, as printed, e.g. `The Lauder family and their related entities`. - votingPowerPct: number Percentage of the voting power held by the controlling holder or group, as printed, e.g. `82`. - pledgingPolicy: object Company policy on the pledge of company shares by directors, officers and employees as security for a loan. - status: string Policy as stated. `prohibited`: pledges are not allowed. `restricted`: pledges need approval or are limited. `permitted`: pledges are allowed. `no_policy`: the company states that it has no policy. Possible values: `prohibited`, `restricted`, `permitted`, `no_policy`, `not_stated`. - coveredPersons: array of strings Persons to whom the policy applies, for example `directors`, `executive officers` or `employees`, e.g. `["directors"]`. - preApprovalRequired: boolean `true` when a pledge requires approval from the board, a committee, or an officer. - summary: string Short summary of the policy and its exceptions. - hedgingPolicy: object Company policy on hedging transactions in company shares by directors, officers, and employees. A hedge, for example a collar or a prepaid variable forward contract, protects the holder against a fall in share price. Regulation S-K Item 407(i) requires the company to describe its hedging practices or policies, or to state that it has none or that hedging transactions are generally permitted. - status: string Policy as stated. `prohibited`: hedging is not allowed. `restricted`: hedging requires approval or is limited. `permitted`: hedging is allowed. `no_policy`: the company states that it has no policy. Possible values: `prohibited`, `restricted`, `permitted`, `no_policy`, `not_stated`. - coveredPersons: array of strings Persons to whom the policy applies, for example `directors`, `executive officers`, or `employees`, e.g. `["employees"]`. - summary: string Short summary of the policy and the transactions it covers. - unvestedStockAwards: object Stock awards of the named executive officers that had not vested at the end of the fiscal year, from the Outstanding Equity Awards at Fiscal Year-End table. - fiscalYearEndDate: date Last day of the fiscal year of the table, e.g. `2026-06-30`. - sharePriceUSD: number Closing share price that the table uses to calculate market values, in USD, e.g. `78.95`. - executives: array of objects One item per named executive officer. - executiveName: string Name of the executive as printed, e.g. `Stéphane de La Faverie`. - unvestedShares: number Number of shares or units of stock that had not vested, e.g. `115499`. Calculated as the sum of the rows of the executive when the table gives no total. - unvestedValueUSD: number Market value of the shares or units that had not vested, in USD, e.g. `9316119`. Calculated as the sum of the rows of the executive when the table gives no total. - unearnedShares: number Number of shares, units, or other rights under equity incentive plans that had not been earned, for example performance shares, e.g. `16178`. Calculated as the sum of the rows of the executive when the table gives no total. - unearnedValueUSD: number Market or payout value of the unearned shares, units, or rights, in USD, e.g. `1318799`. Calculated as the sum of the rows of the executive when the table gives no total. - holderAgreements: array of objects Registration rights agreements, stockholders agreements, voting agreements, and similar agreements between the company and its significant holders. A registration rights agreement obliges the company to register shares of a holder with the SEC, so that the holder can sell them in the public market. One item per agreement. - counterparty: string Holder or holders that are party to the agreement, as printed, e.g. `John Hall, Anderson and Aranda Investments Pte. Ltd.` - agreementType: string Type of the agreement. Possible values: `registration_rights`, `stockholders_agreement`, `voting_agreement`, `investor_rights`, `lock_up`, `other`. - agreementDate: date Date of the agreement, e.g. `2021-07-02`. - registrationRights: boolean `true` when the agreement gives the holder registration rights. - boardDesignationRights: boolean `true` when the agreement gives the holder the right to name director candidates. - votingCommitment: boolean `true` when the holder agrees to vote its shares in a stated manner. - summary: string Short summary of the terms. - fundHolders: array of objects Owners of 5% or more of the shares of a fund or of a share class of a fund. Fund proxy statements list these owners per fund and class. Many owners are brokers that hold the shares on record for their clients. One item per holder, fund, and class. - fundName: string Name of the fund or series as printed, e.g. `Franklin Focused Dynamic Growth ETF`. - shareClass: string Share class as printed, e.g. `Investor Shares`. - holderName: string Name of the holder as printed, e.g. `LPL Financial LLC`. - address: string Address of the holder as printed, e.g. `4707 Executive Drive, San Diego, CA 92121-3091`. - sharesOwned: number Number of shares owned, as printed, e.g. `1288958`. - percentOfClass: number Percentage of the class owned, as printed, e.g. `7.6`. - percentOfFund: number Percentage of all shares of the fund owned, as printed, e.g. `18.03`. - ownershipType: string Type of ownership as stated. `record`: the holder is the owner on record. `beneficial`: the holder is the beneficial owner. Possible values: `record`, `beneficial`, `record_and_beneficial`, `not_stated`. - trusteeHoldings: array of objects Fund shares owned by each trustee or director of a fund, as dollar ranges. One item per trustee. - trusteeName: string Name of the trustee as printed, e.g. `Robert J. Batchelor`. - isInterested: boolean `true` when the proxy statement names the trustee as an interested person of the fund, for example an employee of the investment adviser. `false` for an independent trustee. - fundRanges: array of objects Dollar range of the shares of each fund owned by the trustee. One item per fund. - fundName: string Name of the fund as printed, e.g. `Madison ETFs Trust`. - dollarRange: string Dollar range as printed, e.g. `Over $100,000`. - aggregateDollarRange: string Dollar range of the shares of all funds in the family of investment companies that the trustee oversees, as printed, e.g. `$50,001-$100,000`. - evidence: object Short quotes from the proxy statement that support key values. Each key is the path of a field, e.g. `undefined`, and each value is the quote. ### Response Example JSON ```json { "total": { "value": 1, "relation": "eq" }, "data": [ { "accessionNo": "0001104659-26-112176", "formType": "DEF 14A", "filedAt": "2026-09-30T10:00:36-04:00", "periodOfReport": "2026-11-17", "entities": [ { "cik": "1001250", "ticker": "EL", "companyName": "ESTEE LAUDER COMPANIES INC (Filer)", "irsNo": "112408943", "fiscalYearEnd": "0630", "stateOfIncorporation": "DE", "sic": "2844 Perfumes, Cosmetics & Other Toilet Preparations", "act": "34", "fileNo": "001-14064", "filmNo": "261425814" } ], "meetingDate": "2026-11-17", "url": "https://www.sec.gov/Archives/edgar/data/1001250/000110465926112176/tm2623505-1_def14a.htm", "registrantType": "operating_company", "ownershipTable": { "asOfDate": "2026-07-31", "classes": [ { "className": "Class A Common Stock", "sharesOutstanding": 247291223, "votesPerShare": 1 }, { "className": "Class B Common Stock", "sharesOutstanding": 114507344, "votesPerShare": 10 } ] }, "holders": [ { "name": "LAL Family Corporation", "holderType": "five_percent_holder", "address": "767 Fifth Avenue, New York, New York 10153", "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 69402943, "sharesAcquirableWithin60Days": null, "percentOfClass": 60.6, "belowOnePercent": false, "percentOfVotingPower": 49.8, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Ronald S. Lauder", "holderType": "executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 73335, "sharesAcquirableWithin60Days": null, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Ronald S. Lauder", "holderType": "executive_officer", "address": null, "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 6364, "sharesAcquirableWithin60Days": null, "percentOfClass": null, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "William P. Lauder", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 116517, "sharesAcquirableWithin60Days": 103217, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": 6.1, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "William P. Lauder", "holderType": "director", "address": null, "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 8515960, "sharesAcquirableWithin60Days": null, "percentOfClass": 7.4, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": 8515960, "sharedVotingPower": null, "soleInvestmentPower": 8515960, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Gary M. Lauder", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 21316, "sharesAcquirableWithin60Days": 10848, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Gary M. Lauder", "holderType": "director", "address": null, "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 45740, "sharesAcquirableWithin60Days": null, "percentOfClass": null, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": 45740, "sharedVotingPower": null, "soleInvestmentPower": 45740, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Aerin Lauder", "holderType": "five_percent_holder", "address": "767 Fifth Avenue, New York, New York 10153", "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 1692, "sharesAcquirableWithin60Days": null, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": 13.7, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Aerin Lauder", "holderType": "five_percent_holder", "address": "767 Fifth Avenue, New York, New York 10153", "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 19100317, "sharesAcquirableWithin60Days": null, "percentOfClass": 16.6, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": 9268846, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Jane Lauder", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 59555, "sharesAcquirableWithin60Days": 792, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": 12.5, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Jane Lauder", "holderType": "director", "address": null, "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 17436020, "sharesAcquirableWithin60Days": null, "percentOfClass": 15.2, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Eric L. Zinterhofer", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 4507, "sharesAcquirableWithin60Days": 2815, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": 13.7, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Eric L. Zinterhofer", "holderType": "director", "address": null, "shareClass": "Class B Common Stock", "sharesBeneficiallyOwned": 19100317, "sharesAcquirableWithin60Days": null, "percentOfClass": 16.6, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": 4768846, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Charlene Barshefsky", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 125815, "sharesAcquirableWithin60Days": 45766, "percentOfClass": 0.1, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Paul J. Fribourg", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 549089, "sharesAcquirableWithin60Days": 24789, "percentOfClass": 0.2, "belowOnePercent": false, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Jennifer Hyman", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 17015, "sharesAcquirableWithin60Days": 14665, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Annabelle Yu Long", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 792, "sharesAcquirableWithin60Days": 792, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Arturo Nuñez", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 11938, "sharesAcquirableWithin60Days": 11938, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Barry S. Sternlicht", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 111619, "sharesAcquirableWithin60Days": 40807, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Dana Strong", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 792, "sharesAcquirableWithin60Days": 792, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Jennifer Tejada", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 20899, "sharesAcquirableWithin60Days": 18899, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Richard F. Zannino", "holderType": "director", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 47943, "sharesAcquirableWithin60Days": 35784, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Roberto Canevari", "holderType": "named_executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 48390, "sharesAcquirableWithin60Days": 37987, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Stéphane de La Faverie", "holderType": "director_and_executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 92552, "sharesAcquirableWithin60Days": 73922, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Jane Hertzmark Hudis", "holderType": "named_executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 137602, "sharesAcquirableWithin60Days": 110217, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Rashida La Lande", "holderType": "named_executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 19921, "sharesAcquirableWithin60Days": 19921, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "Akhil Shrivastava", "holderType": "named_executive_officer", "address": null, "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 19173, "sharesAcquirableWithin60Days": 11051, "percentOfClass": null, "belowOnePercent": true, "percentOfVotingPower": null, "soleVotingPower": null, "sharedVotingPower": null, "soleInvestmentPower": null, "sharedInvestmentPower": null, "pledgedShares": null, "sourceFiling": null, "sourceFiledDate": null }, { "name": "BlackRock, Inc.", "holderType": "five_percent_holder", "address": "50 Hudson Yards, New York, New York 10001", "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 18586595, "sharesAcquirableWithin60Days": null, "percentOfClass": 7.5, "belowOnePercent": false, "percentOfVotingPower": 1.3, "soleVotingPower": 16914444, "sharedVotingPower": 0, "soleInvestmentPower": 18586595, "sharedInvestmentPower": 0, "pledgedShares": null, "sourceFiling": "schedule_13g", "sourceFiledDate": "2026-07-28" }, { "name": "Managed Account Advisors LLC", "holderType": "five_percent_holder", "address": "101 Hudson Street, 9th Floor, Jersey City, New Jersey 07302", "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 18529374, "sharesAcquirableWithin60Days": null, "percentOfClass": 7.5, "belowOnePercent": false, "percentOfVotingPower": 1.3, "soleVotingPower": 0, "sharedVotingPower": 0, "soleInvestmentPower": 18488671, "sharedInvestmentPower": 40703, "pledgedShares": null, "sourceFiling": "schedule_13g", "sourceFiledDate": "2026-08-12" }, { "name": "Vanguard Portfolio Management", "holderType": "five_percent_holder", "address": "100 Vanguard Boulevard, Malvern, Pennsylvania 19355", "shareClass": "Class A Common Stock", "sharesBeneficiallyOwned": 12416128, "sharesAcquirableWithin60Days": null, "percentOfClass": 5, "belowOnePercent": false, "percentOfVotingPower": 0.9, "soleVotingPower": 33673, "sharedVotingPower": 0, "soleInvestmentPower": 12416128, "sharedInvestmentPower": 0, "pledgedShares": null, "sourceFiling": "schedule_13g", "sourceFiledDate": "2026-07-31" } ], "insiderGroup": [ { "shareClass": "Class A Common Stock", "personCount": 22, "sharesBeneficiallyOwned": 1504560, "sharesAcquirableWithin60Days": null, "percentOfClass": 0.6, "belowOnePercent": false, "percentOfVotingPower": 29, "pledgedShares": null }, { "shareClass": "Class B Common Stock", "personCount": 22, "sharesBeneficiallyOwned": 40298594, "sharesAcquirableWithin60Days": null, "percentOfClass": 35.2, "belowOnePercent": false, "percentOfVotingPower": null, "pledgedShares": null } ], "controlledCompany": { "isControlledCompany": true, "controllingHolder": "The Lauder family and their related entities", "votingPowerPct": 82 }, "pledgingPolicy": { "status": "restricted", "coveredPersons": [], "preApprovalRequired": true, "summary": "Equity award agreements for PSUs and RSUs generally prohibit employees from pledging outstanding equity awards. Otherwise, the company does not restrict pledges of securities but requires that the Legal Department approve pledges in advance." }, "hedgingPolicy": { "status": "restricted", "coveredPersons": [ "employees", "officers", "directors", "certain family members and affiliated entities" ], "summary": "Hedging transactions, including prepaid variable forward contracts, equity swaps, collars and exchange funds, are prohibited unless the Legal Department approves them in advance and they comply with the Insider Trading Policy. No approval is given for hedges of outstanding equity grants." }, "unvestedStockAwards": { "fiscalYearEndDate": "2026-06-30", "sharePriceUSD": 78.95, "executives": [ { "executiveName": "Stéphane de La Faverie", "unvestedShares": 115499, "unvestedValueUSD": 9316119, "unearnedShares": 16178, "unearnedValueUSD": 1318799 }, { "executiveName": "Akhil Shrivastava", "unvestedShares": 28952, "unvestedValueUSD": 2339003, "unearnedShares": 4910, "unearnedValueUSD": 402915 }, { "executiveName": "Jane Hertzmark Hudis", "unvestedShares": 55653, "unvestedValueUSD": 4505013, "unearnedShares": 8931, "unearnedValueUSD": 732878 }, { "executiveName": "Rashida La Lande", "unvestedShares": 58768, "unvestedValueUSD": 4783386, "unearnedShares": 5384, "unearnedValueUSD": 441811 }, { "executiveName": "Roberto Canevari", "unvestedShares": 29156, "unvestedValueUSD": 2359651, "unearnedShares": 4582, "unearnedValueUSD": 375999 } ] }, "holderAgreements": [ { "counterparty": "Lauder Family Members, including Aerin Lauder, Gary M. Lauder, Jane Lauder, Ronald S. Lauder, William P. Lauder, Eric L. Zinterhofer and LAL Family Partners L.P.", "agreementType": "stockholders_agreement", "agreementDate": null, "registrationRights": false, "boardDesignationRights": true, "votingCommitment": true, "summary": "The parties agree to vote their shares for William P. Lauder, Gary M. Lauder or a designee, and for Ronald S. Lauder (or one of his daughters) and one person he designates, as directors. Shares subject to the agreement represent approximately 82% of the voting power as of the record date. The agreement ends when the parties together own less than 10% of the voting power, among other events." }, { "counterparty": "Ronald S. Lauder, The Estée Lauder 1994 Trust, William P. Lauder, Gary M. Lauder, Aerin Lauder, Jane Lauder, the Leonard A. Lauder Estate, family controlled entities and trusts, and JPMorgan Chase Bank, N.A. as pledgee", "agreementType": "registration_rights", "agreementDate": null, "registrationRights": true, "boardDesignationRights": false, "votingCommitment": false, "summary": "The LAL Estate, Ronald S. Lauder and JPMorgan each have three demand registration rights and The Estée Lauder 1994 Trust has six, for Class A shares including shares from the conversion of Class B shares. All holder parties have unlimited piggyback registration rights. JPMorgan can use its rights only after a default under certain loan arrangements. The company pays the registration expenses." } ], "fundHolders": [], "trusteeHoldings": [], "evidence": { "holders[0]": "LAL Family Corporation(3)(4) — | — | 69,402,943 | 60.6% | 49.8%", "controlledCompany.isControlledCompany": "The Company is considered a “controlled company” under the rules of the New York Stock Exchange (the “NYSE”) because the Lauder family and their related entities hold more than 50% of the voting power of the Company’s outstanding voting stock.", "holders[8].pledgedShares": "4,500,000 shares of Class B Common Stock are pledged by the ALZ 2000 Revocable Trust to secure a loan under a loan facility with a certain bank as to which she has sole voting power and shares investment power with the bank as pledgee under the loan facility;", "insiderGroup[0]": "All directors and executive officers as a group (22 persons)(28) 1,504,560 | 0.6% | 40,298,594 | 35.2% | 29.0%", "holderAgreements[1]": "each of the LAL Estate, Ronald S. Lauder, and JPMorgan has three demand registration rights and The Estée Lauder 1994 Trust has six demand registration rights in respect of shares of Class A Common Stock (including Class A Common Stock issued upon conversion of Class B Common Stock) held by them.", "pledgingPolicy.status": "Otherwise, we do not restrict pledges of securities but require that pledges of securities be approved in advance by our Legal Department." } } ] } ```