0001179110-16-032730.txt : 20161209 0001179110-16-032730.hdr.sgml : 20161209 20161209165202 ACCESSION NUMBER: 0001179110-16-032730 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161207 FILED AS OF DATE: 20161209 DATE AS OF CHANGE: 20161209 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: 162044602 MAIL ADDRESS: STREET 1: 370 WABASHA ST N CITY: ST PAUL STATE: MN ZIP: 55102 4 1 edgar.xml FORM 4 - X0306 4 2016-12-07 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 7761.664 D Common Stock 27675 I By 2015 GRAT Common Stock 75556.155 I By 2016 GRAT Common Stock 717 I By child #1 trust Common Stock 717 I By child #2 trust Common Stock 554.767 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 117.73 2016-12-07 4 A 0 39722 0 A 2017-12-07 2026-12-07 Common Stock 39722 39722 D The reporting person is trustee and sole annuitant of the Thomas W. Handley 2016 two-year GRAT, a grantor retained annuity trust ("2016 GRAT"). On September 7, 2016, the reporting person contributed 75,556.155 shares of the issuer's Common Stock to the 2016 GRAT. The 2015 GRAT, established on June 9, 2015, is two-year grantor retained annuity trust that was referenced as GRAT No. 2 on previously filed Form 4s. Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of November 30, 2016. Includes 1.634 UNITS acquired since the reporting person's last report. (The 554.767 UNITS are the equivalent of approximately 1,022 SHARES of the issuer's Common Stock.) The 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. /s/ David F. Duvick, as Attorney-in-Fact for Thomas W. Handley 2016-12-09