SEC Form 4 · accession 0001127602-16-052118
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jesse G Singh
Officer — Senior Vice President
Period of report
May 12, 2016
Accepted (ET)
May 13, 2016 · 1:00 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 | May 12, 2016 | S | 100 | $169.92 | D | 6,339 | D | |
| Common Stock | May 12, 2016 | S | 300 | $169.93 | D | 6,039 | D | |
| Common Stock | May 12, 2016 | S | 400 | $169.94 | D | 5,639 | D | |
| Common Stock | May 12, 2016 | S | 100 | $169.96 | D | 5,539 | D | |
| Common Stock | May 12, 2016 | S | 964 | $169.97 | D | 4,575 | D | |
| Common Stock | May 12, 2016 | M | 10,922 | $89.47 | A | 15,497 | D | |
| Common Stock | May 12, 2016 | S | 522 | $169.88 | D | 14,975 | D | |
| Common Stock | May 12, 2016 | S | 100 | $169.905 | D | 14,875 | D | |
| Common Stock | May 12, 2016 | S | 10,300 | $169.96 | D | 4,575 | D | |
| Common Stock | May 12, 2016 | M | 12,497 | $87.89 | A | 17,072 | D | |
| Common Stock | May 12, 2016 | S | 97 | $169.84 | D | 16,975 | D | |
| Common Stock | May 12, 2016 | S | 100 | $169.86 | D | 16,875 | D | |
| Common Stock | May 12, 2016 | S | 200 | $169.895 | D | 16,675 | D | |
| Common Stock | May 12, 2016 | S | 200 | $169.91 | D | 16,475 | D | |
| Common Stock | May 12, 2016 | S | 100 | $169.94 | D | 16,375 | D | |
| Common Stock | May 12, 2016 | S | 11,700 | $169.95 | D | 4,675 | D | |
| Common Stock | May 12, 2016 | S | 100 | $170.035 | D | 4,575 | D | |
| Common Stock | May 12, 2016 | M | 9,795 | $101.49 | A | 14,370 | D | |
| Common Stock | May 12, 2016 | S | 95 | $169.99 | D | 14,275 | D | |
| Common Stock | May 12, 2016 | S | 6,800 | $170.005 | D | 7,475 | D | |
| Common Stock | May 12, 2016 | S | 2,600 | $170.01 | D | 4,875 | D | |
| Common Stock | May 12, 2016 | S | 300 | $170.03 | D | 4,575 | 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) | $78.72 | May 12, 2016 | M | 8,906 | D | Feb 9, 2011 | Feb 7, 2020 | Common Stock | 8,906 | 0 | D |
| Non-qualified Stock Option (Right to Buy) | $78.72 | May 12, 2016 | M | 3,564 | D | Feb 9, 2011 | Feb 7, 2020 | Common Stock | 3,564 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F1 | $89.47 | May 12, 2016 | M | 10,922 | D | Feb 8, 2012 | Feb 8, 2021 | Common Stock | 10,922 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F2 | $87.89 | May 12, 2016 | M | 12,497 | D | Feb 7, 2013 | Feb 7, 2022 | Common Stock | 12,497 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F3 | $101.49 | May 12, 2016 | M | 9,795 | D | Feb 5, 2014 | Feb 3, 2023 | Common Stock | 9,795 | 0 | D |
Explanation of responses
- F1This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/8/2011).
- F2This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013).
- F3This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013).
Remarks
2 of 2