4 1 henkf4_11-9.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person* Henkel KGaA 67 Henkelstrasse 40191 Dusseldorf Germany 2. Issuer Name and Ticker or Trading Symbol Ecolab Inc. (ECL) 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 4. Statement for Month/Year October/2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [X] 10% Owner (see attached statement) [ ] Officer (give title below) [ ] Other (specify below) 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ------------- * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 4. 5. Securities Acquired (A) or Amount of 3. Disposed of (D) Securities 7. Transaction (Instr. 3, 4 and 5) Beneficially 6. Nature of 2. Code ------------------------------- Owned at End Ownership Form: Indirect 1. Transaction (Instr. 8) (A) of Month Direct (D) or Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 Indirect (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par 10/02/2001 P 200,300 (A) 36.00 value $1.00 per share ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 100 (A) 35.98 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 5,000 (A) 35.96 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 3,000 (A) 35.95 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,500 (A) 35.69 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 200 (A) 35.67 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 15,800 (A) 35.53 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 35,500 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 14,000 (A) 35.44 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,000 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 100 (A) 35.36 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 200 (A) 35.35 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,000 (A) 35.32 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 2,000 (A) 35.30 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,200 (A) 35.29 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 300 (A) 35.27 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 200 (A) 35.24 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 9,100 (A) 35.23 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 100 (A) 35.22 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 22,900 (A) 35.20 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 200 (A) 35.19 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,400 (A) 35.15 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 200 (A) 35.13 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 15,200 (A) 35.12 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,500 (A) 35.11 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 35,900 (A) 35.10 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 800 (A) 35.09 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 300 (A) 35.08 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 18,600 (A) 35.07 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,800 (A) 35.06 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 25,600 (A) 35.05 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 800 (A) 35.04 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 800 (A) 35.03 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,000 (A) 35.02 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 300 (A) 35.01 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 40,900 (A) 35.00 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 10,200 (A) 34.99 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 2,200 (A) 34.98 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 1,000 (A) 34.97 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 2,000 (A) 34.96 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 800 (A) 34.95 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 3,200 (A) 34.94 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 100 (A) 34.92 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 3,300 (A) 34.91 ------------------------------------------------------------------------------------------------------------------------------------ 10/02/2001 P 26,300 (A) 34.90 ------------------------------------------------------------------------------------------------------------------------------------ 10/03/2001 P 50,000 (A) 35.95 ------------------------------------------------------------------------------------------------------------------------------------ 10/03/2001 P 75,000 (A) 35.90 ------------------------------------------------------------------------------------------------------------------------------------ 10/03/2001 P 25,000 (A) 35.75 ------------------------------------------------------------------------------------------------------------------------------------ 10/03/2001 P 1,100 (A) 35.57 ------------------------------------------------------------------------------------------------------------------------------------ 10/03/2001 P 100 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,103,500 (A) 36.00 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 100 (A) 35.64 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 534,500 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,900 (A) 35.49 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,200 (A) 35.47 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 900 (A) 35.46 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 3,300 (A) 35.45 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,500 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,000 (A) 35.39 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 700 (A) 35.38 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 500 (A) 35.37 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 200 (A) 35.36 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 300 (A) 35.35 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 400 (A) 35.32 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,200 (A) 35.30 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 16,800 (A) 35.29 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 5,000 (A) 35.28 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,000 (A) 35.27 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,500 (A) 35.26 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 82,900 (A) 35.25 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,500 (A) 35.23 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,600 (A) 35.22 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 9,000 (A) 35.20 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,500 (A) 35.19 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,300 (A) 35.18 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 2,700 (A) 35.17 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 6,100 (A) 35.16 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,900 (A) 35.15 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,000 (A) 35.14 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,300 (A) 35.11 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 1,800 (A) 35.10 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 100 (A) 35.08 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 25,800 (A) 35.00 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 14,300 (A) 34.96 ------------------------------------------------------------------------------------------------------------------------------------ 10/05/2001 P 6,600 (A) 34.95 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 500 (A) 35.46 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 14,300 (A) 35.45 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 4,000 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 6,800 (A) 35.38 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 11,300 (A) 35.36 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 4,300 (A) 35.35 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 100 (A) 35.33 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 100 (A) 35.32 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 700 (A) 35.31 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 3,300 (A) 35.30 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 1,700 (A) 35.29 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 1,200 (A) 35.28 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 3,700 (A) 35.26 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 2,400 (A) 35.25 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 400 (A) 35.24 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 5,000 (A) 35.23 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 1,800 (A) 35.16 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 1,800 (A) 35.15 ------------------------------------------------------------------------------------------------------------------------------------ 10/23/2001 P 200 (A) 35.13 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 4,700 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 300 (A) 35.48 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 300 (A) 35.47 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 400 (A) 35.46 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 500 (A) 35.45 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 800 (A) 35.44 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 200 (A) 35.41 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 6,100 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 3,300 (A) 35.39 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 1,000 (A) 35.38 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 1,000 (A) 35.37 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 700 (A) 35.36 ------------------------------------------------------------------------------------------------------------------------------------ 10/24/2001 P 8,400 (A) 35.35 ------------------------------------------------------------------------------------------------------------------------------------ 10/25/2001 P 50,700 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/25/2001 P 16,000 (A) 35.49 ------------------------------------------------------------------------------------------------------------------------------------ 10/25/2001 P 2,000 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/29/2001 P 67,800 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/29/2001 P 13,000 (A) 35.49 ------------------------------------------------------------------------------------------------------------------------------------ 10/29/2001 P 200 (A) 35.48 ------------------------------------------------------------------------------------------------------------------------------------ 10/29/2001 P 3,700 (A) 35.45 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 28,300 (A) 35.50 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 101,500 (A) 35.49 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 2,600 (A) 35.48 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 2,100 (A) 35.47 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 500 (A) 35.46 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 1,000 (A) 35.45 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 1,000 (A) 35.44 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 700 (A) 35.43 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 700 (A) 35.42 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 600 (A) 35.41 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 55,500 (A) 35.40 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 100 (A) 35.39 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 4,500 (A) 35.38 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 700 (A) 35.37 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 200 (A) 35.36 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 4,200 (A) 35.35 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 100 (A) 35.34 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 100 (A) 35.33 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 300 (A) 35.32 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 1,000 (A) 35.31 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 15,700 (A) 35.30 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 4,100 (A) 35.29 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 1,700 (A) 35.28 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 5,800 (A) 35.27 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 8,400 (A) 35.26 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 13,600 (A) 35.25 ------------------------------------------------------------------------------------------------------------------------------------ 10/30/2001 P 300 (A) 35.15 20,571,512 (D) ------------------------------------------------------------------------------------------------------------------------------------ 14,666,664 (I) Held by Subsidiary ------------------------------------------------------------------------------------------------------------------------------------
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
------------------ Explanation of responses: ** Intentional misstatements or omissions of fact constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Signature of Reporting Person Henkel KGaA By: /s/ Carl Braun By: /s/ T.G. Kuehn ------------------------------- ------------------- Name: Carl Braun Name: T.G. Kuehn Title: Vice President Title: Corporate Counsel Date: November 9, 2001 Date: November 9, 2001 STATEMENT ATTACHED TO FORM 4 FILED WITH THE SECURITIES AND EXCHANGE COMMISSION BY HENKEL KGaA 67 HENKELSTRA(beta)E 40191 DUSSELDORF GERMANY November 9, 2001 ITEM 6. Relationships of Reporting Person to Company Henkel KGaA ("Henkel") is the beneficial owner of more than 10 percent of the outstanding common stock of Ecolab Inc. ("Ecolab"). Under an agreement dated as of June 26, 1991, between Ecolab and Henkel, Ecolab agreed to take all necessary actions to have such number of designees of Henkel nominated to Ecolab's Board of Directors so that Henkel has representation on the Board of Directors proportionate with its stock ownership. Pursuant to this agreement, Ulrich Lehner, Stefan Hamelmann and Hugo Uyterhoeven currently serve on the Board of Directors of Ecolab.