0001415889-21-004395.txt : 20210915 0001415889-21-004395.hdr.sgml : 20210915 20210915164729 ACCESSION NUMBER: 0001415889-21-004395 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210914 FILED AS OF DATE: 20210915 DATE AS OF CHANGE: 20210915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER DOUGLAS M JR CENTRAL INDEX KEY: 0001198753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 211255824 MAIL ADDRESS: STREET 1: 370 WBASHA ST NORTH 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 form4-09152021_010920.xml X0306 4 2021-09-14 0000031462 ECOLAB INC. ECL 0001198753 BAKER DOUGLAS M JR 1 ECOLAB PLACE ST. PAUL MN 55102 true true false false EXEC CHAIRMAN OF THE BOARD Common Stock 2021-09-14 4 M 0 173036 119.12 A 796963 D Common Stock 2021-09-14 4 S 0 172892 223.537 D 624071 D Common Stock 2021-09-14 4 S 0 144 224.232 D 623927 D Common Stock 7050 I By Spouse Common Stock 72850 I By Julie M. Baker 2012 Revocable Trust Common Stock 72500 I By Douglas M. Baker, Jr. 2012 Irrevocable Trust Common Stock 5731.786 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 119.120 2021-09-14 4 M 0 173036 0 D 2016-12-02 2025-12-02 Common Stock 173036 0 D This transaction was executed in multiple trades at prices ranging from $223.215 to $224.210, 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 $224.215 to $224.240, 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, 2021. Includes 24.986 UNITS acquired since the reporting person's last report. (The 5,731.786 UNITS are the equivalent of approximately 10,506 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 grant. /s/ David F. Duvick, Attorney-in-Fact for Douglas M. Baker, Jr. 2021-09-15