SEC Form 4 · accession 0001127602-18-004234
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael G. Vale
Officer — Executive Vice President
Period of report
Feb 2, 2018
Accepted (ET)
Feb 6, 2018 · 11:48 am 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 Stock | Feb 2, 2018 | M | 3,200 | $54.11 | A | 27,081 | D | |
| Common Stock | Feb 2, 2018 | S | 3,200 | $246.98 | D | 23,881 | D | |
| Common Stock | Feb 2, 2018 | M | 3,043 | $54.11 | A | 26,924 | D | |
| Common Stock | Feb 2, 2018 | S | 443 | $246.89 | D | 26,481 | D | |
| Common Stock | Feb 2, 2018 | S | 100 | $246.90 | D | 26,381 | D | |
| Common Stock | Feb 2, 2018 | S | 100 | $247.03 | D | 26,281 | D | |
| Common Stock | Feb 2, 2018 | S | 1,500 | $247.035 | D | 24,781 | D | |
| Common Stock | Feb 2, 2018 | S | 900 | $247.05 | D | 23,881 | D | |
| Common StockF1,F2 | Feb 2, 2018 | M | 2,201 | $54.11 | A | 26,082 | 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 | $54.11 | Feb 2, 2018 | M | 3,200 | D | Feb 10, 2010 | Feb 8, 2019 | Common Stock | 3,200 | 5,244 | D |
| Non-qualified Stock Option (Right to Buy)F3 | $54.11 | Feb 2, 2018 | M | 3,043 | D | Feb 10, 2010 | Feb 8, 2019 | Common Stock | 3,043 | 2,201 | D |
| Non-qualified Stock Option (Right to Buy)F3 | $54.11 | Feb 2, 2018 | M | 2,201 | D | Feb 10, 2010 | Feb 8, 2019 | Common Stock | 2,201 | 0 | D |
Explanation of responses
- F1Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F2Includes shares acquired pursuant to 3M's Dividend Reinvestment Plan.
- F3This option became exercisable in equal installments on each of the first three anniversaries of the grant date (2/9/2009).