SEC Form 4 · accession 0001127602-16-061864
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joaquin Delgado
Officer — Executive Vice President
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 11:59 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, 2016 | M | 24,507 | $179.98 | A | 45,281 | D | |
| Common StockF1 | Sep 1, 2016 | F | 11,813 | $179.98 | D | 33,468 | D | |
| Common StockF2 | holding | — | — | — | 1,096 | I | By 401k/paesop Trust |
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 | — | Sep 1, 2016 | M | 24,507 | D | — | — | Common Stock | 24,507 | 0 | D |
Explanation of responses
- F1Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F2Includes shares acquired pursuant to the 3M Voluntary Investment Plan.
- F3Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
- F4The restricted stock units will vest 100% five years from the grant date (9-1-2011).