SEC Form 4/A · accession 0001127602-19-007041
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
Ippocratis Vrohidis
Officer — Vice President & CAO
Period of report
Feb 5, 2019
Accepted (ET)
Feb 20, 2019 · 12:22 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 | 1,080 | $0.00 | A | 1,896 | D | |
| Common StockF1,F2 | Feb 5, 2019 | F | 483 | $0.00 | D | 1,413 | 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 | 7,014 | A | Feb 5, 2020 | Feb 4, 2029 | Common Stock | 7,014 | 7,014 | D |
Explanation of responses
- F1On February 7, 2019, the reporting person reported the imminent delivery of a number of shares of 3M Common Stock earned as a result of the 2016 performance shares awarded to the reporting person. The number of shares to be withheld from this delivery for the payment of withholding taxes was estimated at that time. This amendment is being filed to update the Form 4 with the number of shares actually received after withholding taxes.
- F2Includes shares acquired under 3M's General Employee Stock Purchase Plan.