0001179110-19-004107.txt : 20190320 0001179110-19-004107.hdr.sgml : 20190320 20190320171652 ACCESSION NUMBER: 0001179110-19-004107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190318 FILED AS OF DATE: 20190320 DATE AS OF CHANGE: 20190320 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: 19695292 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 2019-03-18 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 2019-03-18 4 M 0 52200 71.54 A 184793.819 D Common Stock 2019-03-18 4 S 0 2750 174.847 D 182043.819 D Common Stock 2019-03-18 4 S 0 69776 174.158 D 112267.819 D Common Stock 7403 I By child #1 trust Common Stock 7403 I By child #2 trust Common Stock 569.258 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 71.54 2019-03-18 4 M 0 52200 0 D 2013-12-05 2022-12-05 Common Stock 52200 0 D This transaction was executed in multiple trades at prices ranging from $174.72 to $175.00, 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. This transaction was executed in multiple trades at prices ranging from $173.72 to $174.66, 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 February 28, 2019. (The 569.258 UNITS are the equivalent of approximately 1,045 SHARES of the issuer's Common Stock.) The option became exercisable, on a cumulative basis, as to one-third of the option shares (excluding any fractional portion less than one share), on each of the first and second anniversaries of the date of grant and as to the remaining shares on the third anniversary of the date of grant. The date listed in the "Date Exercisable" column represents the first anniversary date of the date of grant. /s/ David F. Duvick, as Attorney-in-Fact for Thomas W. Handley 2019-03-20