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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 14.859 | 11/30/2007 | M | 5,000 | 08/14/1999(3) | 08/14/2008 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 19.922 | 11/30/2007 | M | 3,000 | 08/13/2000(3) | 08/13/2009 | Common Stock | 3,000 | $ 0 | 2,800 | D | ||||
Employee Stock Option (Right to Buy) | $ 19.922 | 12/03/2007 | M | 2,800 | 08/13/2000(3) | 08/13/2009 | Common Stock | 2,800 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 19.266 | 12/03/2007 | M | 14,000 | 08/18/2001(4) | 08/18/2010 | Common Stock | 14,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hickey Michael A 370 WABASHA STREET NORTH SAINT PAUL, MN 55102 |
SVP - Global Bus. Development |
/s/ David F. Duvick, as Attorney-in-fact for Michael A. Hickey | 12/04/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 8.766 shares acquired on 01/19/07, 8.896 shares acquired on April 19, 2007, 8.919 shares acquired on July 19, 2007 and 8.428 shares acquired by reporting person on October 18, 2007 by dividend reinvestment under the Dividend Reinvestment Plan for shareholders of Ecolab sponsored by Computershare Trust Company, Inc. |
(2) | Number of UNITS owned by the reporting person in the Ecolab Stock Fund of the Ecolab Savings Plan (401(k) Plan) as of October 31, 2007. Includes 171.533 UNITS acquired since the reporting person's last report. (The 3,235.444 UNITS are equivalent to approximately 6,040 SHARES of the issuer's Common Stock.) |
(3) | Options granted under the Ecolab Inc. 1997 Stock Incentive Plan. Each option became exercisable, on a cumulative basis, as to 25% of the total shares (excluding any fractional portion less than one share), on each of the first, second and third anniversaries of the date of grant and as to the remaining option shares on the fourth anniversary of the date of grant. |
(4) | Option granted under the Ecolab Inc. 1997 Stock Incentive Plan. The option became exercisable, on a cumulative basis, as to one-third of the total 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. |