-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IxeTjLYzTFHO1LL6l0HBJNgtQ1BF6EySuGnt1d1WTvAtYc7c/CDeEN708ui4bne9 WEM1Jj3bogE9WvbnwtFWVw== 0000903423-02-000003.txt : 20020413 0000903423-02-000003.hdr.sgml : 20020413 ACCESSION NUMBER: 0000903423-02-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020104 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 2501838 BUSINESS ADDRESS: STREET 1: ECOLAB CTR STREET 2: 370 N WABASHA ST CITY: ST PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 6122932233 FORMER COMPANY: FORMER CONFORMED NAME: ECONOMICS LABORATORY INC DATE OF NAME CHANGE: 19861203 COMPANY DATA: COMPANY CONFORMED NAME: HENKEL KGAA /NEW/ CENTRAL INDEX KEY: 0001098789 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 67 HENKELSTRASSE D-40191 CITY: DUSSELDORF GERMANY BUSINESS PHONE: 011492117973533 MAIL ADDRESS: STREET 1: 67 HENKELSTRASSE D-40191 CITY: DUSSELDORF GERMANY 4 1 henkf4_1-2.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 December/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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Transaction 3. Transaction Code 4. Securities Acquired (A) 5. Amount of 6. Ownership Form 7. Nature of Security Date (Instr. 8) or Disposed of (D) Securities Direct (D) or Indirect (Instr. 3) (Month/Day/ (Instr. 3, 4 and 5) Beneficially Indirect (I) Beneficial Year) Owned at End of (Instr. 4) Ownership Month (Instr. 4) (Instr. 3 and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Code V Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par 12/04/2001 P 311,000 (A) 37.25 value $1.00 per share - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 2,000 (A) 37.24 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 21,100 (A) 37.22 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 1,900 (A) 37.21 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 12,000 (A) 37.20 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 400 (A) 37.19 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 200 (A) 37.18 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 300 (A) 37.17 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 1,800 (A) 37.16 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 27,800 (A) 37.15 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 500 (A) 37.14 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 200 (A) 37.12 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 500 (A) 37.10 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 18,100 (A) 37.00 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 26,900 (A) 36.97 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 3,900 (A) 36.50 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 300 (A) 36.48 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 900 (A) 36.47 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 200 (A) 36.45 - ------------------------------------------------------------------------------------------------------------------------------------ 12/04/2001 P 10,000 (A) 36.25 - ------------------------------------------------------------------------------------------------------------------------------------ 12/05/2001 P 50,000 (A) 37.95 - ------------------------------------------------------------------------------------------------------------------------------------ 12/05/2001 P 1,000 (A) 37.74 - ------------------------------------------------------------------------------------------------------------------------------------ 12/05/2001 P 28,500 (A) 37.73 - ------------------------------------------------------------------------------------------------------------------------------------ 12/05/2001 P 500 (A) 37.72 - ------------------------------------------------------------------------------------------------------------------------------------ 12/07/2001 P 120,000 (A) 37.95 - ------------------------------------------------------------------------------------------------------------------------------------ 12/07/2001 P 10,000 (A) 37.80 - ------------------------------------------------------------------------------------------------------------------------------------ 12/07/2001 P 20,000 (A) 37.74 - ------------------------------------------------------------------------------------------------------------------------------------ 12/07/2001 P 10,000 (A) 37.70 - ------------------------------------------------------------------------------------------------------------------------------------ 12/07/2001 P 10,000 (A) 37.55 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 19,300 (A) 37.35 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 3,600 (A) 37.34 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 2,900 (A) 37.33 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 1,300 (A) 37.32 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 500 (A) 37.31 - ------------------------------------------------------------------------------------------------------------------------------------ 12/10/2001 P 2,400 (A) 37.28 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 111,800 (A) 38.00 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 7,200 (A) 37.99 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 2,600 (A) 37.98 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 200 (A) 37.97 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 900 (A) 37.96 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 2,400 (A) 37.95 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 600 (A) 37.94 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 300 (A) 37.93 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 5,700 (A) 37.91 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 3,700 (A) 37.90 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 900 (A) 37.89 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 1,000 (A) 37.87 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 1,700 (A) 37.85 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 600 (A) 37.84 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 500 (A) 37.83 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 3,000 (A) 37.79 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 20,000 (A) 37.65 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 4,000 (A) 37.50 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 3,100 (A) 37.01 - ------------------------------------------------------------------------------------------------------------------------------------ 12/11/2001 P 9,800 (A) 37.00 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 2,000 (A) 37.80 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 900 (A) 37.79 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 700 (A) 37.78 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 700 (A) 37.76 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 700 (A) 37.75 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 1,000 (A) 37.74 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 1,700 (A) 37.71 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 1,000 (A) 37.70 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 300 (A) 37.69 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 3,100 (A) 37.65 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 7,500 (A) 37.63 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 300 (A) 37.61 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 12,500 (A) 37.60 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 3,900 (A) 37.59 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 2,000 (A) 37.58 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 8,500 (A) 37.57 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 12,700 (A) 37.56 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 16,700 (A) 37.55 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 6,400 (A) 37.54 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 3,500 (A) 37.53 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 1,100 (A) 37.52 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 2,600 (A) 37.51 - ------------------------------------------------------------------------------------------------------------------------------------ 12/12/2001 P 1,900 (A) 37.50 - ------------------------------------------------------------------------------------------------------------------------------------ 12/13/2001 P 8,300 (A) 37.36 21,679,312 (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. Kuhn ------------------------------- -------------------------------- Name: Carl Braun Name: T. G. Kuhn Title: Vice President Title: Corporate Counsel Date: January 2, 2002 Date: January 2, 2002 STATEMENT ATTACHED TO FORM 4 FILED WITH THE SECURITIES AND EXCHANGE COMMISSION BY HENKEL KGaA 67 HENKELSTRASSE 40191 DUSSELDORF GERMANY January 2, 2002 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 amended and restated agreement dated as of November 30, 2001, 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. -----END PRIVACY-ENHANCED MESSAGE-----