SEC Form 4 · accession 0001179110-18-013570
ECOLAB INC. · ECL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M Baker Jr.
Officer — Chairman and CEO · Director
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 5:24 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 | holding | — | — | — | 517,992 | D | ||
| Common Stock | holding | — | — | — | 7,050 | I | By Wife | |
| Common Stock | holding | — | — | — | 72,850 | I | By Julie M. Baker 2012 Irrevocable Trust | |
| Common Stock | holding | — | — | — | 72,500 | I | By Douglas M. Baker, Jr. 2012 Irrevocable Trust | |
| Common StockF1 | holding | — | — | — | 5,583 | I | By Ecolab Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $158.515 | Dec 4, 2018 | A | 142,507 | A | Dec 4, 2019 | Dec 4, 2028 | Common Stock | 142,507 | 142,507 | D |
Explanation of responses
- F1Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of November 30, 2018. (The 5,582.672 UNITS are the equivalent of approximately 10,252 SHARES of the issuer's Common Stock.)
- F2The option will be 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.