Statement of Changes in Beneficial Ownership (4)
February 08 2023 - 05:12PM
Edgar (US Regulatory)
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FORM 4
[ ] 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
Estimated average burden
hours per response... 0.5 |
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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 * Roman Michael F |
2. Issuer Name and Ticker or Trading
Symbol 3M CO [ MMM ] |
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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
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)
|
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
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Roman Michael F
3M CENTER
ST. PAUL, MN 55144-1000 |
X |
|
Chairman and CEO |
|
Signatures
|
|
/s/ Patricia L. Meagher, attorney-in-fact for
Michael F. Roman |
|
2/8/2023 |
| **Signature of Reporting
Person |
Date |
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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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