UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-qualified Stock Option (Right to Buy) | 05/09/2007 | 05/09/2016 | Common Stock | 5,392 | $ 87.35 | D | Â |
Non-qualified Stock Option (Right to Buy) | 05/08/2008 | 05/08/2017 | Common Stock | 6,392 | $ 84.78 | D | Â |
Non-qualified Stock Option (Right to Buy) | 05/13/2009 | 05/13/2018 | Common Stock | 12,616 | $ 77.18 | D | Â |
Non-qualified Stock Option (Right to Buy) | 02/09/2010 | 02/08/2019 | Common Stock | 11,660 | $ 54.11 | D | Â |
Non-qualified Stock Option (Right to Buy) | 02/09/2011 | 02/07/2020 | Common Stock | 16,065 | $ 78.72 | D | Â |
Non-qualified Stock Option (Right to Buy) | 02/08/2012 | 02/08/2021 | Common Stock | 10,922 | $ 89.47 | D | Â |
Non-qualified Stock Option (Right to Buy) (2) | 02/07/2013 | 02/07/2022 | Common Stock | 8,996 | $ 87.89 | D | Â |
Non-qualified Stock Option (Right to Buy) (3) | 02/05/2014 | 02/03/2023 | Common Stock | 35,105 | $ 101.49 | D | Â |
Non-qualified Stock Option (Right to Buy) (4) | 02/04/2015 | 02/02/2024 | Common Stock | 23,095 | $ 126.72 | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Stock | 4,630 | $ 0 (6) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bauman James L 3M CENTER ST. PAUL, MN 55144-1000 |
 |  |  Vice President |  |
/s/ Sheila B. Claugherty, attorney-in-fact for James L. Bauman | 01/07/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares. |
(2) | This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/7/2012). |
(3) | This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013). |
(4) | This option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/4/2014). |
(5) | The restricted stock units will vest 100% on 9-1-2015. |
(6) | Each restricted stock unit represents a contingent right to receive one share of 3M common stock. |