Amended Statement of Beneficial Ownership (3/a)
2021年11月6日 - 04:19AM
Edgar (US Regulatory)
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
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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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Chavez Rodriguez Beatriz Karina |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2021
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3. Issuer Name and Ticker or Trading Symbol
3M CO [MMM]
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(Last)
(First)
(Middle)
3M CENTER |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Senior Vice President / |
(Street)
ST. PAUL, MN 55144
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 11/5/2021
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2209.385 | D | |
Common Stock | 2808.9172 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Non-qualified Stock Option (Right to Buy) | 2/5/2014 (2) | 2/4/2023 | Common Stock | 1071 | $101.49 | D | |
Non-qualified Stock Option (Right to Buy) | 2/4/2015 (2) | 2/3/2024 | Common Stock | 2921 | $126.72 | D | |
Non-qualified Stock Option (Right to Buy) | 2/3/2016 (2) | 2/2/2025 | Common Stock | 1447 | $165.94 | D | |
Restricted Stock Units | 2/4/2022 | (3) | Common Stock | 671 | (4) | D | |
Restricted Stock Units | 2/3/2023 | (3) | Common Stock | 705 | (4) | D | |
Restricted Stock Units | 2/2/2024 | (3) | Common Stock | 286 | (4) | D | |
Restricted Stock Units | 7/1/2024 | (3) | Common Stock | 1507 | (4) | D | |
Non-qualified Stock Option (Right to Buy) | 2/2/2022 (2) | 2/1/2031 | Common Stock | 1975 | $175.02 | D | |
Explanation of Responses: |
(1) | Includes shares acquired under 3M's General Employee Stock Purchase Plan. |
(2) | The stock option will vest and become exercisable in a series of three equal installments on the first, second and third anniversary of the grant date. |
(3) | The restricted stock units vest 100% three years from the grant date. |
(4) | Each restricted stock unit represents a contingent right to receive one share of 3M common stock. |
Remarks: Exhibit Index: 24.1 Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Chavez Rodriguez Beatriz Karina 3M CENTER ST. PAUL, MN 55144 |
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| Senior Vice President |
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Signatures
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Patricia L. Meagher, attorney-in-fact for Beatriz Karina Chavez Rodriguez | | 11/5/2021 |
**Signature of Reporting Person | Date |
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