- Initial Statement of Beneficial Ownership (3)
January 30 2012 - 5:52PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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November 30, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Mulhere Timothy P
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/20/2012
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3. Issuer Name
and
Ticker or Trading Symbol
ECOLAB INC [ECL]
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(Last)
(First)
(Middle)
ECOLAB INC., 370 WABASHA STREET NORTH
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP & Pres. Gobal Healthcare /
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(Street)
ST. PAUL, MN 55102
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1508
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D
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Common Stock
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1599.490
(1)
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I
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By Ecolab Savings Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Units
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(2)
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(2)
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Common Stock
(2)
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347.686
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(2)
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D
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Employee Stock Option (Right to Buy)
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12/11/2004
(3)
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12/11/2013
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Common Stock
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20000
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$27.39
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D
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Employee Stock Option (Right to Buy)
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12/9/2005
(4)
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12/9/2014
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Common Stock
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16600
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$34.50
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D
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Employee Stock Option (Right to Buy)
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12/7/2006
(5)
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12/7/2015
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Common Stock
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17200
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$34.075
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D
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Employee Stock Option (Right to Buy)
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12/6/2007
(6)
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12/6/2016
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Common Stock
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12500
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$45.24
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D
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Employee Stock Option (Right to Buy)
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12/5/2008
(7)
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12/5/2017
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Common Stock
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13600
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$49.42
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D
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Employee Stock Option (Right to Buy)
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12/3/2009
(8)
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12/3/2018
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Common Stock
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21100
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$35.63
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D
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Employee Stock Option (Right to Buy)
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12/2/2010
(9)
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12/2/2019
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Common Stock
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9800
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$45.665
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D
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Employee Stock Option (Right to Buy)
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12/1/2011
(10)
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12/1/2020
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Common Stock
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11600
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$48.055
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D
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Employee Stock Option (Right to Buy)
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12/1/2012
(11)
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12/1/2021
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Common Stock
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12500
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$55.595
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D
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Explanation of Responses:
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(
1)
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Number of UNITS in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of December 31, 2011. (The 1599.490 UNITS are the equivalent of approximately 2,976 shares of the issuer's Common Stock.)
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(
2)
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The phantom stock units represent employer-matching contributions and dividends thereon accrued under the Ecolab Mirror Savings Plan and are to be settled in cash, on a 1-for-1 basis, upon termination of the reporting person's employment. (The 347.686 UNITS are the equivalent of approximately 647 shares of the issuer's Common Stock.)
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(
3)
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Option granted under the Ecolab Inc. 2002 Stock Incentive Plan on December 11, 2003. 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 option shares on the third anniversary of the date of grant.
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(
4)
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Option granted under the Ecolab Inc. 2002 Stock Incentive Plan on December 9, 2004. 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 option shares on the third anniversary of the date of grant.
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(
5)
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Option granted under the Ecolab Inc. 2002 Stock Incentive Plan on December 7, 2005. 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 option shares on the third anniversary of the date of grant.
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(
6)
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Option granted under the Ecolab Inc. 2005 Stock Incentive Plan on December 6, 2006. 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 option shares on the third anniversary of the date of grant.
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(
7)
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Option granted under the Ecolab Inc. 2005 Stock Incentive Plan on December 5, 2007. 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 option shares on the third anniversary of the date of grant.
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(
8)
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Option granted under the Ecolab Inc. 2005 Stock Incentive Plan on December 3, 2008. 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 option shares on the third anniversary of the date of grant.
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(
9)
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Option granted under the Ecolab Inc. 2005 Stock Incentive Plan on December 2, 2009. The option will become 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 option shares on the third anniversary of the date of grant.
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(
10)
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Option granted under the Ecolab Inc. 2010 Stock Incentive Plan on December 1, 2010. The option will become 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 option shares on the third anniversary of the date of grant.
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(
11)
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Option granted under the Ecolab Inc. 2010 Stock Incentive Plan on December 1, 2011. The option will become 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 option shares on the third anniversary of the date of grant.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Mulhere Timothy P
ECOLAB INC.
370 WABASHA STREET NORTH
ST. PAUL, MN 55102
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EVP & Pres. Gobal Healthcare
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Signatures
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David F. Duvick, as Attorney-in-Fact for Timothy P. Mulhere
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1/30/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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