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3M CO — Director's Dealing 2015
Oct 29, 2015
17737_dirs_2015-10-29_1aaf79f4-33c1-42cc-bf10-bdafe533ac55.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: 3M CO (MMM)
CIK: 0000066740
Period of Report: 2015-08-14
Reporting Person: Ashish Khandpur K (Sr. VP, Chief Tech. Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-10-28 | Common Stock | M | 309 | $101.49 | Acquired | 1061 | Direct |
| 2015-10-28 | Common Stock | S | 309 | $156.49 | Disposed | 752 | Direct |
| 2015-10-28 | Common Stock | M | 155 | $126.72 | Acquired | 907 | Direct |
| 2015-10-28 | Common Stock | S | 155 | $156.49 | Disposed | 752 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-08-14 | Restricted Stock Units | $ | J | 85 | Disposed | Common Stock (85) | Indirect | |
| 2015-08-14 | Restricted Stock Units | $ | J | 93 | Disposed | Common Stock (93) | Indirect | |
| 2015-08-14 | Non-qualified Stock Option (Right to Buy) | $101.49 | J | 156 | Disposed | 2023-02-03 | Common Stock (156) | Indirect |
| 2015-08-14 | Non-qualified Stock Option (Right to Buy) | $126.72 | J | 313 | Disposed | 2024-02-02 | Common Stock (313) | Indirect |
| 2015-10-28 | Non-qualified Stock Option (Right to Buy) | $101.49 | M | 309 | Disposed | 2023-02-03 | Common Stock (309) | Indirect |
| 2015-10-28 | Non-qualified Stock Option (Right to Buy) | $126.72 | M | 155 | Disposed | 2024-02-02 | Common Stock (155) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 752 | Indirect |
| Common Stock | 728 | Indirect |
Footnotes
F1: Includes shares acquired pursuant to 3M's Dividend Reinvestment Plan.
F2: Includes shares acquired pursuant to the 3M Voluntary Investment Plan.
F3: Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
F4: 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.
F5: The restricted stock units will vest on 2/4/2017.
F6: Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
F7: 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.
F8: The restricted stock units will vest on 2/5/2016.
F9: This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013).
F10: On August 14, 2015, due to termination of service, the unvested portion of the option could not be exercised.
F11: This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/4/2014).