SEC Form 4 · accession 0001127602-17-031147
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Khandpur K Ashish
Officer — Sr. VP, Chief Tech. Officer
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 11:28 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 | Nov 1, 2017 | M | 4,004 | $54.11 | A | 5,236 | D | |
| Common Stock | Nov 1, 2017 | S | 200 | $231.3804 | D | 5,036 | D | |
| Common StockF1 | Nov 1, 2017 | S | 3,804 | $231.392 | D | 1,232 | D | |
| Common Stock | holding | — | — | — | 752 | I | by Spouse | |
| Common StockF2 | holding | — | — | — | 763 | I | Spouse 401k/paesop |
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) | $54.11 | Nov 1, 2017 | M | 4,004 | D | Feb 9, 2010 | Feb 8, 2019 | Common Stock | 4,004 | 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.