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ECOLAB INC. — Director's Dealing 2013
Dec 18, 2013
29912_dirs_2013-12-18_6c756be5-a5a4-40ba-ae1a-bb2a02e05ad8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ECOLAB INC (ECL)
CIK: 0000031462
Period of Report: 2013-12-16
Reporting Person: Taylor Stephen M (EVP and Pres. - Global Energy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-16 | Common Stock | M | 5594 | $26.20 | Acquired | 23109 | Direct |
| 2013-12-16 | Common Stock | F | 2799 | $102.10 | Disposed | 20310 | Direct |
| 2013-12-16 | Common Stock | M | 5261 | $35.34 | Acquired | 25571 | Direct |
| 2013-12-16 | Commn Stock | F | 2842 | $102.10 | Disposed | 22729 | Direct |
| 2013-12-16 | Common Stock | M | 13297 | $30.10 | Acquired | 36026 | Direct |
| 2013-12-16 | Common Stock | F | 6979 | $102.10 | Disposed | 29047 | Direct |
| 2013-12-16 | Common Stock | M | 13682 | $17.55 | Acquired | 42729 | Direct |
| 2013-12-16 | Common Stock | F | 4135 | $102.10 | Disposed | 38594 | Direct |
| 2013-12-16 | Common Stock | M | 7776 | $32.35 | Acquired | 46370 | Direct |
| 2013-12-16 | Common Stock | F | 2463 | $102.10 | Disposed | 43907 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 | Employee Stock Option (Right to Buy) | $26.20 | M | 5594 | Disposed | 2016-06-28 | Common Stock (5594) | Direct |
| 2013-12-16 | Employee Stock Option (Right to Buy) | $35.34 | M | 5261 | Disposed | 2017-02-15 | Common Stock (5261) | Direct |
| 2013-12-16 | Employee Stock Option (Right to Buy) | $30.10 | M | 13297 | Disposed | 2018-02-14 | Common Stock (13297) | Direct |
| 2013-12-16 | Employee Stock Option (Right to Buy) | $17.55 | M | 13682 | Disposed | 2019-02-12 | Common Stock (13682) | Direct |
| 2013-12-16 | Employee Stock Option (Right to Buy) | $32.35 | M | 7776 | Disposed | 2020-02-09 | Common Stock (7776) | Direct |
Footnotes
F1: 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 common stock.
F2: These options originally represented options to purchase shares of common stock of Nalco Holding Company ("Nalco") and had a variety of vesting schedules. The vesting of these options was accelerated pursuant to Mr. Taylor's Change of Control Agreement with Nalco upon closing of the merger on December 1, 2011 by and among Ecolab Inc., Sustainability Partners Corporation and Nalco. The options were converted into options to purchase shares of Ecolab Inc. common stock pursuant to the Agreement and Plan of Merger dated as of July 19, 2011 among Ecolab Inc., Sustainability Partners Corporation and Nalco.