Statement of Changes in Beneficial Ownership (4)
February 08 2023 - 5:12PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Roman Michael F |
2. Issuer Name and Ticker or Trading Symbol
3M CO
[
MMM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman and CEO |
(Last)
(First)
(Middle)
3M CENTER |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/6/2023 |
(Street)
ST. PAUL, MN 55144-1000
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/6/2023 | | A | | 35281.349 (1) | A | $0 | 127985.2006 (2)(3) | D | |
Common Stock | 2/6/2023 | | F | | 844.743 (4) | D | $0 | 127140.4576 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Non-qualified Stock Option (Right to Buy) | $116.90 | 2/7/2023 | | A | | 269995 | | 2/7/2024 (5) | 2/7/2033 | Common Stock | 269995 | $0 | 269995 | D | |
Explanation of Responses: |
(1) | Represents shares of 3M common stock that will be delivered pursuant to the terms of a performance share award made to the reporting person on March 1, 2020. The performance-based vesting requirements applicable to such award were satisfied on the date reported in Column 2, which represents the date on which the level of performance attained was certified. The reporting person previously elected to defer receipt of the shares and will not have voting or investment powers with respect to such shares until they are issued. |
(2) | Includes shares acquired under 3M's General Employee Stock Purchase Plan. |
(3) | Includes dividend share equivalents, accrued quarterly, pursuant to 3M's Deferred Compensation Plan. |
(4) | The number of shares withheld for taxes was estimated and will be revised by amendment if necessary. |
(5) | The stock option will vest and become exercisable in a series of three equal installments on each of the first, second and third anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Roman Michael F 3M CENTER ST. PAUL, MN 55144-1000 | X |
| Chairman and CEO |
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Signatures
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/s/ Patricia L. Meagher, attorney-in-fact for Michael F. Roman | | 2/8/2023 |
**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 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). |
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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