SEC Form 4 · accession 0001127602-19-004404
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
Ivan K Fong
Officer — Sr. VP, Legal & Gen. Counsel
Period of report
Feb 5, 2019
Accepted (ET)
Feb 7, 2019 · 12:00 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 5, 2019 | A | 5,072 | $0.00 | A | 28,311 | D | |
| Common StockF1,F2 | Feb 5, 2019 | F | 1,234 | $0.00 | D | 27,076 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $201.12 | Feb 5, 2019 | A | 19,904 | A | Feb 5, 2020 | Feb 4, 2029 | Common Stock | 19,904 | 19,904 | 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 3/1/2016 and 7/3/2017. 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 50% of the shares issuable pursuant to the award 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.