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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 08/14/2015 | J | 85 (4) | (5) | (5) | Common Stock | 85 | (6) | 0 | I | by Spouse | |||
Restricted Stock Units | (3) | 08/14/2015 | J | 93 (7) | (8) | (8) | Common Stock | 93 | (6) | 0 | I | by Spouse | |||
Non-qualified Stock Option (Right to Buy) (9) | $ 101.49 | 08/14/2015 | J | 156 (10) | 02/05/2014 | 02/03/2023 | Common Stock | 156 | $ 0 | 309 | I | by Spouse | |||
Non-qualified Stock Option (Right to Buy) (11) | $ 126.72 | 08/14/2015 | J | 313 (10) | 02/04/2015 | 02/02/2024 | Common Stock | 313 | $ 0 | 155 | I | by Spouse | |||
Non-qualified Stock Option (Right to Buy) (9) | $ 101.49 | 10/28/2015 | M | 309 | 02/05/2014 | 02/03/2023 | Common Stock | 309 | $ 0 | 0 | I | by Spouse | |||
Non-qualified Stock Option (Right to Buy) (11) | $ 126.72 | 10/28/2015 | M | 155 | 02/04/2015 | 02/02/2024 | Common Stock | 155 | $ 0 | 0 | I | by Spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ashish Khandpur K 3M CENTER ST. PAUL, MN 55144-1000 |
Sr. VP, Chief Tech. Officer |
/s/ Sheila B. Claugherty, attorney-in-fact for Ashish K. Khanpur | 10/29/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Includes shares acquired pursuant to 3M's Dividend Reinvestment Plan. |
(2) | Includes shares acquired pursuant to the 3M Voluntary Investment Plan. |
(3) | Each restricted stock unit represents a contingent right to receive one share of 3M common stock. |
(4) | On August 14, 2015, the Issuer cancelled the option of 85 shares of 3M Common Stock granted to the reporting person on 2/4/2014, due to termination of service. |
(5) | The restricted stock units will vest on 2/4/2017. |
(6) | Each restricted stock unit represents a contingent right to receive one share of 3M common stock. |
(7) | On August 14, 2015, the Issuer cancelled the option of 93 shares of 3M Common Stock granted to the reporting person on 2/5/2013, due to termination of service. |
(8) | The restricted stock units will vest on 2/5/2016. |
(9) | This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013). |
(10) | On August 14, 2015, due to termination of service, the unvested portion of the option could not be exercised. |
(11) | This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/4/2014). |