0001179110-16-029033.txt : 20160826 0001179110-16-029033.hdr.sgml : 20160826 20160826182154 ACCESSION NUMBER: 0001179110-16-029033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160824 FILED AS OF DATE: 20160826 DATE AS OF CHANGE: 20160826 ISSUER: 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 BUSINESS ADDRESS: STREET 1: ECOLAB CORPORATE CENTER STREET 2: 370 WABASHA STREET NORTH CITY: SAINT PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 6512502587 MAIL ADDRESS: STREET 1: ECOLAB CORPORATE CENTER STREET 2: 370 WABASHA STREET NORTH CITY: SAINT PAUL STATE: MN ZIP: 55102 FORMER COMPANY: FORMER CONFORMED NAME: ECOLAB INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ECONOMICS LABORATORY INC DATE OF NAME CHANGE: 19861203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HANDLEY THOMAS W CENTRAL INDEX KEY: 0001275967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 161855772 MAIL ADDRESS: STREET 1: 370 WABASHA ST N CITY: ST PAUL STATE: MN ZIP: 55102 4 1 edgar.xml FORM 4 - X0306 4 2016-08-24 0 0000031462 ECOLAB INC. ECL 0001275967 HANDLEY THOMAS W 370 WABASHA STREET NORTH SAINT PAUL MN 55102 0 1 0 0 President and COO Common Stock 2016-05-24 5 G 0 E 717 0 D 717 I By GRAT No. 1 Common Stock 2016-05-24 5 G 0 E 717 0 A 717 I By child #1 trust Common Stock 2016-05-24 5 G 0 E 717 0 D 0 I By GRAT No. 1 Common Stock 2016-05-24 5 G 0 E 717 0 A 717 I By child #2 trust Common Stock 27675 I By GRAT No. 2 Common Stock 2016-08-24 4 M 0 20000 35.63 A 95985.819 D Common Stock 2016-08-24 4 F 0 12668 121.865 D 83317.819 D Common Stock 553.133 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 35.63 2016-08-24 4 M 0 20000 0 D 2009-12-03 2018-12-03 Common Stock 20000 0 D The reporting person is trustee and sole annuitant of GRAT No. 1, a grantor retained annuity trust. On March 9, 2016 and March 10, 2016, GRAT No. 1 distributed 17,715 shares and 28.155 shares, respectively, of Ecolab Inc. common stock out of the 19,177.155 shares then held by GRAT No. 1 to the reporting person as an annuity payment. The reporting person is trustee and sole annuitant of GRAT No. 2, a grantor retained annuity trust. On August 12, 2016 , GRAT No. 2 distributed 24,100 shares of Ecolab Inc. common stock out of the 51,775 shares then held by GRAT No. 2 to the reporting person as an annuity payment. Reflects 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 Inc. common stock. Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of July 31, 2016. Includes 3.221 UNITS acquired since the reporting person's last report. (The 553.133 UNITS are the equivalent of approximately 1,019 SHARES of Ecolab Inc. common stock.) Option granted on December 3, 2008 under the Ecolab Inc. 2005 Stock Incentive Plan. The 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. /s/ David F. Duvick, as Attorney-in-Fact for Thomas W. Handley 2016-08-26