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MMM 3M Company

97.15
0.34 (0.35%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
3M Company NYSE:MMM NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.34 0.35% 97.15 98.19 96.84 97.58 4,818,716 01:00:00

Initial Statement of Beneficial Ownership (3)

09/04/2019 2:53pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Shafer Stephen M

2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2019 

3. Issuer Name and Ticker or Trading Symbol

3M CO [MMM]

(Last)        (First)        (Middle)

3M CENTER

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Senior VP-Bus Dev-Marketing /

(Street)

MAPLEWOOD, MN 55144       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   812.2711   (1) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units     (2)   (2) Common Stock   1298     (3) D    
Non-qualified Stock Option (Right to Buy)   2/5/2014   2/3/2023   Common Stock   3145   $101.49   D    
Non-qualified Stock Option (Right to Buy)   2/4/2015   2/2/2024   Common Stock   2338   $126.72   D    
Non-qualified Stock Option (Right to Buy)   2/3/2016   2/3/2025   Common Stock   4090   $165.94   D    
Non-qualified Stock Option (Right to Buy)   2/2/2017   2/2/2026   Common Stock   5964   $147.87   D    
Non-qualified Stock Option (Right to Buy)   2/6/2018   2/6/2027   Common Stock   12882   $175.76   D    
Non-qualified Stock Option (Right to Buy)   2/6/2019   2/4/2028   Common Stock   7279   $233.63   D    
Non-qualified Stock Option (Right to Buy)   2/5/2020   2/4/2029   Common Stock   7400   $201.12   D    

Explanation of Responses:
(1)  Includes shares acquired under 3M's General Employee Stock Purchase Plan.
(2)  The restricted stock units will vest 100% five years from the grant date of 06/01/2015
(3)  Each restricted stock unit represents a contingent right to receive one share of 3M common stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Shafer Stephen M
3M CENTER
MAPLEWOOD, MN 55144


Senior VP-Bus Dev-Marketing

Signatures
/s/ Sheila B. Claugherty, attorney-in-fact for Mr. Shafer 4/8/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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