0001179110-20-002161.txt : 20200224 0001179110-20-002161.hdr.sgml : 20200224 20200224194633 ACCESSION NUMBER: 0001179110-20-002161 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200220 FILED AS OF DATE: 20200224 DATE AS OF CHANGE: 20200224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER DOUGLAS M JR CENTRAL INDEX KEY: 0001198753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 20646753 MAIL ADDRESS: STREET 1: 370 WBASHA ST NORTH CITY: ST PAUL STATE: MN ZIP: 55102 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: 1 ECOLAB PLACE CITY: SAINT PAUL STATE: MN ZIP: 55102 BUSINESS PHONE: 18002326522 MAIL ADDRESS: STREET 1: 1 ECOLAB PLACE 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 4 1 edgar.xml FORM 4 - X0306 4 2020-02-20 0 0000031462 ECOLAB INC. ECL 0001198753 BAKER DOUGLAS M JR 1 ECOLAB PLACE SAINT PAUL MN 55102 1 1 0 0 Chairman and CEO Common Stock 2020-02-20 4 M 0 195800 71.540 A 750104 D Common Stock 2020-02-20 4 S 0 41963 205.762 D 708141 D Common Stock 2020-02-20 4 S 0 102499 206.298 D 605642 D Common Stock 2020-02-02 4 S 0 9233 207.655 D 596409 D Common Stock 2020-02-20 4 S 0 17513 208.762 D 578896 D Common Stock 2020-02-20 4 S 0 748 209.247 D 578148 D Common Stock 7050 I By Wife Common Stock 72850 I By Julie M. Baker 2012 Irrevocable Trust Common Stock 72500 I By Douglas M. Baker, Jr. 2012 Irrevocable Trust Common Stock 5653.151 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 71.54 2020-02-20 4 M 0 195800 0 D 2013-12-05 2022-12-05 Common Stock 195800 0 D This transaction was executed in multiple trades at prices ranging from $205.030 to $206.020, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $206.030 to $206.985, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $207.050 to $208.040, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $208.190 to $209.180, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $209.190 to $209.310, inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of January 31, 2020. Includes 13.711 UNITS acquired since the reporting person's last report. (The 5,653.151 UNITS are the equivalent of approximately 10,364 SHARES of the issuer's Common Stock.) 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 Douglas M. Baker, Jr. 2020-02-24