SEC Form 4 · accession 0001127602-17-004772
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 F Roman
Officer — Executive Vice President
Period of report
Feb 7, 2017
Accepted (ET)
Feb 9, 2017 · 4:09 pm 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 StockF1 | Feb 7, 2017 | A | 6,752 | $0.00 | A | 5,977 | D | |
| Common StockF1,F2 | Feb 7, 2017 | F | 193 | $0.00 | D | 5,977 | 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)F3 | $175.76 | Feb 7, 2017 | A | 52,249 | A | Feb 7, 2018 | Feb 8, 2027 | Common Stock | 52,249 | 52,249 | D |
Explanation of responses
- F1Represents shares of 3M common stock that will be delivered pursuant to the terms of a performance share award made to the reporting person on 3/3/2014. The performance-based vesting requirements applicable to such award were satisfied on the date reported in Column 2 above, which represents the date on which the level of performance attained was certified. The reporting person previously elected to defer receipt of the shares and will not have voting or investment powers with respect to these shares until they are issued. The number of shares withheld for FICA taxes was estimated and will be revised by amendment, if necessary
- F2Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F3This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/7/2017).