Initial Statement of Beneficial Ownership (3)
July 11 2017 - 10:49AM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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Banovetz John Patrick
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
3M CO [MMM]
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(Last)
(First)
(Middle)
3M CENTER
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Sr Vice President /
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(Street)
MAPLEWOOD, MN 55144
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1272.6722
(1)
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D
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Common Stock
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492
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I
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by spouse
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(2)
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(2)
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Common Stock
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204
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(3)
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D
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Non-qualified Stock Option (Right to Buy)
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2/9/2011
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2/7/2020
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Common Stock
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1040
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$78.72
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D
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Non-qualified Stock Option (Right to Buy)
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2/8/2012
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2/8/2021
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Common Stock
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2228
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$89.47
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D
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Non-qualified Stock Option (Right to Buy)
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2/7/2013
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2/7/2022
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Common Stock
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3236
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$87.89
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D
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Non-qualified Stock Option (Right to Buy)
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2/5/2014
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2/3/2023
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Common Stock
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3145
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$101.49
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D
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Non-qualified Stock Option (Right to Buy)
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2/4/2015
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2/2/2024
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Common Stock
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2921
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$126.72
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D
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Non-qualified Stock Option (Right to Buy)
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2/3/2016
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2/3/2025
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Common Stock
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4222
(4)
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$165.94
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D
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Non-qualified Stock Option (Right to Buy)
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2/2/2017
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2/2/2026
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Common Stock
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6828
(5)
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$147.87
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D
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Non-qualified Stock Option (Right to Buy)
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2/7/2018
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2/6/2027
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Common Stock
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6935
(6)
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$175.76
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D
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Explanation of Responses:
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(1)
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Includes shares acquired under 3M's General Employee Stock Purchase Plan.
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(2)
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The Restricted Stock Units will vest on February 3, 2018.
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(3)
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Each restricted stock unit represents a contingent right to receive one share of 3M common stock.
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(4)
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This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/3/2015).
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(5)
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This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/2/2016).
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(6)
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This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/7/2017).
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Banovetz John Patrick
3M CENTER
MAPLEWOOD, MN 55144
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Sr Vice President
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Signatures
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/s/ Sheila B. Claugherty, attorney-in-fact for Mr. Banovetz
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7/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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