0001179110-20-002167.txt : 20200224 0001179110-20-002167.hdr.sgml : 20200224 20200224195033 ACCESSION NUMBER: 0001179110-20-002167 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: Inchaustegui Roberto CENTRAL INDEX KEY: 0001520218 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09328 FILM NUMBER: 20646770 MAIL ADDRESS: STREET 1: 370 WABASHA STREET NORTH CITY: SAINT 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 0001520218 Inchaustegui Roberto 1 ECOLAB PLACE SAINT PAUL MN 55102 0 1 0 0 EVP & Pres-Global Serv & Spec Common Stock 2020-02-20 4 M 0 18290 103.265 A 43844 D Common Stock 2020-02-20 4 S 0 1766 206.177 D 42078 D Common Stock 2020-02-20 4 S 0 7596 208.174 D 34482 D Common Stock 2020-02-20 4 S 0 7688 209.199 D 26794 D Common Stock 2020-02-20 4 S 0 1240 210.510 D 25554 D Common Stock 2020-02-21 4 A 0 7312 A 32866 D Common Stock 2020-02-21 4 F 0 3287 207.210 D 29579 D Common Stock 2020-02-21 4 I 0 808.16 380.22 D 846.210 I By Ecolab Savings Plan Employee Stock Option (Right to Buy) 103.265 2020-02-20 4 M 0 18290 0 D 2014-12-04 2023-12-04 Common Stock 18290 0 D Restricted Stock Units 2020-02-21 4 M 0 7312 0 D Common Stock 7312 0 D The total reported in Column 5 has been adjusted to correct an overstatement of total holdings by 25,880 shares first reflected in a Form 4 filed on March 8, 2019. The shares were sold in multiple trades at prices ranging from $206.110 to $206.215, 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. The shares were sold in multiple trades at prices ranging from $208.000 to $208.740, 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. The shares were sold in multiple trades at prices ranging from $209.040 to $209.520, 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. The shares were sold in multiple trades at prices ranging from $210.495 to $210.575, 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. On February 21, 2018, the reporting person was granted 7,312 restricted stock units, vesting as of 100% of the units on the second anniversary of the date of grant. The restricted stock units convert into common stock on a one-for-one basis. Reflects the reporting person's payment of minimum statutory tax obligations by withholding shares of Ecolab Common Stock incident to the vesting of restricted stock units in accordance with Rule 16b-3. Represents and intra-plan transfer of 808.16 UNITS from the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) at a price of $378.06 per UNIT. This is the equivalent of approximately 1,481 shares of the Issuer's Common Stock at a price of $207.50 per share. The Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan remaining as of February 21, 2020 includes 4.009 UNITS acquired since the reporting person's last report.(The 846.210 UNITS remaining are the equivalent of approximately 1,551 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 Roberto Inchaustegui 2020-02-24