SEC Form 4 · accession 0001127602-15-032435
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Bauman
Officer — Executive Vice President
Period of report
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 11:12 am EST
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 | Nov 6, 2015 | G | 67 | $0.00 | D | 8,686 | D | |
| Common StockF1 | Nov 20, 2015 | M | 5,392 | $87.35 | A | 14,078 | D | |
| Common StockF1 | Nov 20, 2015 | S | 5,392 | $159.50 | D | 8,686 | 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)F1 | $87.35 | Nov 20, 2015 | M | 5,392 | D | May 9, 2007 | May 9, 2016 | Common Stock | 5,392 | 0 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2015.