SEC Form 4 · accession 0001127602-19-005578
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Bauman
Officer — Executive Vice President
Period of report
Feb 11, 2019
Accepted (ET)
Feb 13, 2019 · 2:02 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 Stock | Feb 11, 2019 | M | 16,065 | $78.72 | A | 40,468 | D | |
| Common Stock | Feb 11, 2019 | S | 11,390 | $200.22 | D | 29,078 | D | |
| Common Stock | Feb 11, 2019 | S | 1,183 | $200.24 | D | 27,895 | D | |
| Common Stock | Feb 11, 2019 | S | 20 | $200.25 | D | 27,875 | D | |
| Common Stock | Feb 11, 2019 | S | 400 | $200.26 | D | 27,475 | D | |
| Common Stock | Feb 11, 2019 | S | 851 | $200.27 | D | 26,624 | D | |
| Common Stock | Feb 11, 2019 | S | 619 | $200.28 | D | 26,005 | D | |
| Common Stock | Feb 11, 2019 | S | 883 | $200.30 | D | 25,122 | D | |
| Common Stock | Feb 11, 2019 | S | 19 | $200.31 | D | 25,103 | D | |
| Common StockF1 | Feb 11, 2019 | S | 700 | $200.33 | D | 24,403 | 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) | $78.72 | Feb 11, 2019 | M | 16,065 | D | Feb 9, 2011 | Feb 7, 2020 | Common Stock | 16,065 | 0 | D |
Explanation of responses
- F1Includes shares acquired under 3M's General Employee Stock Purchase Plan.