SEC Form 4 · accession 0001179110-18-010518

ECOLAB INC. · ECL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP & Pres-Global Nalco Water

Period of report

Aug 9, 2018

Accepted (ET)

Aug 10, 2018 · 5:51 pm EDT

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	Aug 9, 2018	M	2,500	$45.665	A	27,649	D
Common Stock	Aug 9, 2018	M	12,400	$48.055	A	40,049	D
Common Stock^F1	Aug 9, 2018	S	14,900	$148.331	D	25,149	D
Common Stock	Aug 10, 2018	M	10,600	$48.055	A	35,749	D
Common Stock^F2	Aug 10, 2018	S	10,600	$147.124	D	25,149	D
Common Stock^F3	holding	—	—		—	1,121	I	By Ecolab Savings Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F4	$45.665	Aug 9, 2018	M	2,500	D	Dec 2, 2010	Dec 2, 2019	Common Stock	2,500	0	D
Employee Stock Option (Right to Buy)^F4	$48.055	Aug 9, 2018	M	12,400	D	Dec 1, 2011	Dec 1, 2020	Common Stock	12,400	12,700	D
Employee Stock Option (Right to Buy)^F4	$48.055	Aug 10, 2018	M	10,600	D	Dec 1, 2011	Dec 1, 2020	Common Stock	10,600	2,100	D

F1This transaction was executed in multiple trades at prices ranging from $148.00 to $148.74, 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.
F2This transaction was executed in multiple trades at prices ranging from $146.955 to $147.32, 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.
F3Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of July 31, 2018. Includes 6.232 UNITS acquired since the reporting person's last report. (The 1,120.919 UNITS are the equivalent of approximately 2,060 SHARES of the issuer's Common Stock.)
F4The 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.