SEC Form 4 · accession 0001127602-16-049557
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
Apr 19, 2016
Accepted (ET)
Apr 20, 2016 · 1:51 pm 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 | Feb 5, 2016 | G | 1,100 | $0.00 | D | 5,812 | D | |
| Common StockF1 | Apr 19, 2016 | M | 1,500 | $87.35 | A | 7,435 | D | |
| Common StockF1,F2 | Apr 19, 2016 | S | 1,500 | $170.00 | D | 5,935 | 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 | Apr 19, 2016 | M | 1,500 | D | May 9, 2007 | May 9, 2016 | Common Stock | 1,500 | 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 4, 2015.
- F2Includes shares acquired under 3M's General Employee Stock Purchase Plan.