SEC Form 4 · accession 0001127602-15-017579
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael F Roman
Officer — Executive Vice President
Period of report
May 15, 2015
Accepted (ET)
May 18, 2015 · 11:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000066740
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 15, 2015 | M | 2,500 | $87.35 | A | 7,474 | D | |
| Common StockF1 | May 15, 2015 | S | 1,900 | $162.77 | D | 5,574 | D | |
| Common Stock | May 15, 2015 | M | 5,000 | $87.35 | A | 10,574 | D | |
| Common Stock | May 15, 2015 | S | 144 | $162.70 | D | 10,430 | D | |
| Common Stock | May 15, 2015 | S | 300 | $162.71 | D | 10,130 | D | |
| Common Stock | May 15, 2015 | S | 4,456 | $162.72 | D | 5,674 | D | |
| Common Stock | May 15, 2015 | S | 100 | $162.722 | D | 5,574 | D | |
| Common Stock | May 15, 2015 | G | 532 | $0.00 | D | 5,042 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy) | $87.35 | May 15, 2015 | M | 5,000 | D | May 9, 2007 | May 9, 2016 | Common Stock | 5,000 | 4,000 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $87.35 | May 15, 2015 | M | 2,500 | D | May 9, 2007 | May 9, 2016 | Common Stock | 2,500 | 1,500 | D |
Explanation of responses
- F1This form is being filed to report the exercise of a 3M stock option by means of a cashless-sell-to-cover method (selling enough shares to cover option share purchase price, fee and taxes, then retaining the remaining shares).