Filing Details
- Accession Number:
- 0001127602-13-030062
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-31 12:52:09
- Reporting Period:
- 2013-10-29
- Filing Date:
- 2013-10-31
- Accepted Time:
- 2013-10-31 11:52:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 66740 | 3M Co | MMM | Surgical & Medical Instruments & Apparatus (3841) | 410417775 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1263739 | G Inge Thulin | 3M Center St. Paul MN 55144-1000 | Chairman, President & Ceo | Yes | Yes | No | No |
Transaction Summary
| Sold: | 5,614 shares | Avg. Price: $125.20 | Total Value: $702,861.95 |
| Number of Shares After Transactions: | 61,698 shares | ||
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-10-29 | 5,614 | $84.40 | 60,489 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-29 | 100 | $125.19 | 60,389 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-10-29 | 1,000 | $125.19 | 59,389 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-10-29 | 4,014 | $125.20 | 55,375 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-10-29 | 500 | $125.20 | 54,875 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-10-29 | 50,500 | $84.40 | 105,375 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-29 | 34,021 | $125.28 | 71,354 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-10-29 | 9,656 | $125.28 | 61,698 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified Stock Option (Right to Buy) | Disposition | 2013-10-29 | 50,500 | $0.00 | 50,500 | $84.40 |
| Common Stock | Non-qualified Stock Option (Right to Buy) | Disposition | 2013-10-29 | 5,614 | $0.00 | 5,614 | $84.40 |
| Common Stock | Non-qualified Stock Option (Right to Buy) | Acquisiton | 2013-10-29 | 43,677 | $125.28 | 43,677 | $125.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,614 | 2005-05-12 | 2014-05-09 | No | 4 | M | Direct |
| 0 | 2005-05-12 | 2014-05-09 | No | 4 | M | Direct |
| 43,677 | 2014-04-29 | 2014-05-09 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,427 | Indirect | By 401k/paesop Trust |
Footnotes
- This Form is being filed to report the exercise of a 3M stock option for a total of 50,500 shares by means of a stock swap. A stock swap is a method of exercising a stock option in which the option holder attests to the ownership of enough shares of stock already owned by the option holder to cover the exercise price of the option being exercised. As a result of this stock swap, the reporting person acquired ownership of an additional 6,823 shares of 3M common stock. As a result of this transaction, 9,656 shares were sold to pay withholding taxes to the respective government agencies.
- Includes shares acquired during the fiscal year pursuant to the 3M Voluntary Investment Plan.
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