SEC Form 4 · accession 0001179110-17-003655
ECOLAB INC. · ECL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Barbara Beck
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 4:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000031462
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2017 | M | 800 | $45.965 | A | 21,083 | D | |
| Common Stock | Mar 1, 2017 | F | 293 | $125.455 | D | 20,790 | D | |
| Common Stock | Mar 1, 2017 | M | 4,200 | $45.965 | A | 24,899 | D | |
| Common Stock | Mar 1, 2017 | F | 1,538 | $125.455 | D | 23,452 | D | |
| Common Stock | Mar 1, 2017 | M | 5,200 | $38.625 | A | 28,652 | D | |
| Common Stock | Mar 1, 2017 | F | 1,600 | $38.625 | D | 27,052 | D | |
| Common Stock | Mar 1, 2017 | M | 4,500 | $47.475 | A | 31,552 | D | |
| Common Stock | Mar 1, 2017 | F | 1,702 | $47.475 | D | 29,850 | D | |
| Common Stock | Mar 1, 2017 | M | 4,200 | $51.735 | A | 34,050 | D | |
| Common Stock | Mar 1, 2017 | F | 1,731 | $51.735 | D | 32,319 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $45.965 | Mar 1, 2017 | M | 800 | D | Aug 1, 2008 | May 2, 2018 | Common Stock | 800 | 0 | D |
| Common StockF2 | $45.965 | Mar 1, 2017 | M | 4,200 | D | Aug 1, 2008 | May 2, 2018 | Common Stock | 4,200 | 0 | D |
| Common StockF2 | $38.625 | Mar 1, 2017 | M | 5,200 | D | Aug 7, 2009 | May 8, 2019 | Common Stock | 5,200 | 0 | D |
| Common StockF2 | $47.475 | Mar 1, 2017 | M | 4,500 | D | Aug 5, 2010 | May 6, 2020 | Common Stock | 4,500 | 0 | D |
| Common StockF2 | $51.735 | Mar 1, 2017 | M | 4,200 | D | Aug 4, 2011 | May 5, 2021 | Common Stock | 4,200 | 0 | D |
Explanation of responses
- F1Reflects the reporting person's payment of the exercise price and withholding taxes for a stock option issued in accordance with Rule 16b-3 by delivering or withholding shares of Ecolab common stock.
- F2The option became exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant.