SEC Form 4 · accession 0001127602-15-026516
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Bauman
Officer — Vice President
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 10:57 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 Stock | Sep 1, 2015 | M | 4,630 | $138.50 | A | 10,309 | D | |
| Common StockF1,F2 | Sep 1, 2015 | F | 1,556 | $138.50 | D | 8,753 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | $0.00 | Sep 1, 2015 | M | 4,630 | D | — | — | Common Stock | 4,630 | 0 | D |
Explanation of responses
- F1The number of shares withheld for taxes are estimated and will be revised by amendment, if necessary.
- F2Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F3Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
- F4The restricted stock units will vest 100% on 9-1-2015.