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ECOLAB INC. — Director's Dealing 2013
May 6, 2013
29912_dirs_2013-05-06_3fc9d448-f83f-4918-8245-3aaddc2d7b7d.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: 2013-05-02
Reporting Person: LEVIN JERRY W (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-05-03 | Common Stock | S | 5421 | $84.9070 | Disposed | 28286.19 | Direct |
| 2013-05-03 | Common Stock | M | 6700 | $29.29 | Acquired | 34986.19 | Direct |
| 2013-05-03 | Common Stock | F | 2303 | $85.205 | Disposed | 32683.19 | Direct |
| 2013-05-03 | Common Stock | M | 5600 | $32.57 | Acquired | 38283.19 | Direct |
| 2013-05-03 | Common Stock | F | 2140 | $85.205 | Disposed | 36143.19 | Direct |
| 2013-05-03 | Common Stock | M | 5086 | $31.945 | Acquired | 41229.19 | Direct |
| 2013-05-03 | Common Stock | F | 1906 | $85.205 | Disposed | 39323.19 | Direct |
| 2013-05-03 | Common Stock | M | 4800 | $37.905 | Acquired | 44123.19 | Direct |
| 2013-05-03 | Common Stock | F | 2135 | $85.205 | Disposed | 41988.19 | Direct |
| 2013-05-03 | Common Stock | M | 4300 | $42.905 | Acquired | 46288.19 | Direct |
| 2013-05-03 | Common Stock | F | 2165 | $85.205 | Disposed | 44123.19 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-05-02 | Stock Option (Right to Buy) | $84.265 | A | 3200 | Acquired | 2023-05-02 | Common Stock (3200) | Direct |
| 2013-05-03 | Stock Option (Right to Buy) | $29.29 | M | 6700 | Disposed | 2014-05-07 | Common Stock (6700) | Direct |
| 2013-05-03 | Stock Option (Right to Buy) | $32.57 | M | 5600 | Disposed | 2015-05-06 | Common Stock (5600) | Direct |
| 2013-05-03 | Stock Option (Right to Buy) | $31.945 | M | 5086 | Disposed | 2014-05-07 | Common Stock (5086) | Direct |
| 2013-05-03 | Stock Option (Right to Buy) | $37.905 | M | 4800 | Disposed | 2016-05-12 | Common Stock (4800) | Direct |
| 2013-05-03 | Stock Option (Right to Buy) | $42.905 | M | 4300 | Disposed | 2017-05-04 | Common Stock (4300) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $84.90 to $84.95. 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.
F2: Reflects the reporting person's payment of the exercise price for a stock option issued in accordance with Rule 16b-3 by delivering or withholding shares of Ecolab common stock.
F3: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full.