SEC Form 4/A · accession 0001127602-19-006791
3M CO · MMM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James L Bauman
Officer — Executive Vice President
Period of report
Feb 5, 2019
Accepted (ET)
Feb 19, 2019 · 4:15 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 5, 2019 | A | 6,829 | $0.00 | A | 24,579 | D | |
| Common StockF1,F2 | Feb 5, 2019 | F | 217 | $0.00 | D | 24,362 | D | |
| Common StockF3 | holding | — | — | — | 195 | I | By Daughter |
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 | 33,172 | A | Feb 5, 2020 | Feb 4, 2029 | Common Stock | 33,172 | 33,172 | D |
Explanation of responses
- F1On February 7, 2019, the reporting person reported the number of shares of 3M Common Stock that will be delivered on a deferred basis as a result of the vesting of a 2016 performance share award made to the reporting person. The number of shares previously reported as being withheld for the payment of FICA taxes was estimated. This amendment is being filed to update the Form 4 with the actual number of shares withheld.
- F2Includes shares acquired under 3M's General Employee Stock Purchase Plan.
- F3The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.