0001179110-17-012331.txt : 20170915 0001179110-17-012331.hdr.sgml : 20170915 20170915165616 ACCESSION NUMBER: 0001179110-17-012331 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170914 FILED AS OF DATE: 20170915 DATE AS OF CHANGE: 20170915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HANDLEY THOMAS W CENTRAL INDEX KEY: 0001275967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 171088471 MAIL ADDRESS: STREET 1: 370 WABASHA ST N CITY: ST PAUL STATE: MN ZIP: 55102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ECOLAB INC. CENTRAL INDEX KEY: 0000031462 STANDARD INDUSTRIAL CLASSIFICATION: SOAP, DETERGENT, CLEANING PREPARATIONS, PERFUMES, COSMETICS [2840] IRS NUMBER: 410231510 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 ECOLAB PLACE CITY: SAINT PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 18002326522 MAIL ADDRESS: STREET 1: 1 ECOLAB PLACE CITY: SAINT PAUL STATE: MN ZIP: 55102 FORMER COMPANY: FORMER CONFORMED NAME: ECOLAB INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ECONOMICS LABORATORY INC DATE OF NAME CHANGE: 19861203 4 1 edgar.xml FORM 4 - X0306 4 2017-09-14 0 0000031462 ECOLAB INC. ECL 0001275967 HANDLEY THOMAS W 1 ECOLAB PLACE SAINT PAUL MN 55102 0 1 0 0 President and COO Common Stock 2017-08-23 5 G 0 E 2559 0 D 2559 I By 2015 GRAT Common Stock 2017-08-23 5 G 0 E 2559 0 A 3276 I By child #1 trust Common Stock 2017-08-23 5 G 0 E 2559 0 D 0 I By 2015 GRAT Common Stock 2017-08-23 5 G 0 E 2559 0 A 3276 I By child #2 trust Common Stock 40101.155 I By 2016 GRAT Common Stock 2017-09-14 4 S 0 7397 130.625 D 74841.664 D Common Stock 559.669 I By Ecolab Savings Plan The reporting person is trustee and sole annuitant of the 2015 GRAT, a grantor retained annuity trust. On August 7, 2017, the 2015 GRAT distributed 22,557 shares of Ecolab Inc. common stock out of the 27,675 shares then held by the 2015 GRAT to the reporting person as an annuity payment. The reporting person is trustee and sole annuitant of the 2016 GRAT, a grantor retained annuity trust. On August 23, 2017, the 2016 GRAT distributed 35,455 shares of Ecolab Inc. common stock out of the 75,566.155 shares then held by the 2016 GRAT to the reporting person as an annuity payment. This transaction was executed in multiple trades at prices ranging from $130.60 to $130.671, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of August 31, 2017. Includes 1.586 UNITS acquired since the reporting person's last report. (The 559.669 UNITS are the equivalent of approximately 1,029 SHARES of the issuer's Common Stock.) /s/ David F. Duvick, as Attorney-in-Fact for Thomas W. Handley 2017-09-15