SEC Form 4 · accession 0001127602-15-026519
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Michael G. Vale
Officer — Executive Vice President
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 11:05 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 | 3,087 | $138.50 | A | 12,216 | D | |
| Common StockF1,F2,F3 | Sep 1, 2015 | F | 1,038 | $138.50 | D | 11,178 | 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 UnitsF4,F5 | — | Sep 1, 2015 | M | 3,087 | D | — | — | Common Stock | 3,087 | 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.
- F3Includes shares acquired pursuant to 3M's Dividend Reinvestment Plan.
- F4Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
- F5The restricted stock units will vest in equal installments on 9-1-2013 and 9-1-2015.