SEC Form 4 · accession 0001127602-17-030882
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ippocratis Vrohidis
Officer — VP CAO
Period of report
Oct 31, 2017
Accepted (ET)
Nov 2, 2017 · 10:15 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 | Oct 31, 2017 | M | 804 | $89.47 | A | 898 | D | |
| Common Stock | Oct 31, 2017 | S | 200 | $230.34 | D | 698 | D | |
| Common Stock | Oct 31, 2017 | S | 157 | $230.35 | D | 541 | D | |
| Common Stock | Oct 31, 2017 | S | 273 | $230.36 | D | 268 | D | |
| Common Stock | Oct 31, 2017 | S | 174 | $230.361 | D | 94 | D | |
| Common Stock | Oct 31, 2017 | M | 921 | $87.89 | A | 1,015 | D | |
| Common Stock | Oct 31, 2017 | S | 821 | $230.3267 | D | 194 | D | |
| Common StockF1 | Oct 31, 2017 | S | 100 | $230.3369 | D | 94 | 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)F2 | $89.47 | Oct 31, 2017 | M | 804 | D | Feb 8, 2012 | Feb 8, 2021 | Common Stock | 804 | 0 | D |
| Non-qualified Stock Option (Right to Buy) | $87.89 | Oct 31, 2017 | M | 921 | D | Feb 7, 2013 | Feb 7, 2022 | Common Stock | 921 | 0 | D |
Explanation of responses
- F1Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F2The reporting person held the option for the benefit of his former spouse and had no pecuniary interest in the option.