FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Roman Michael F 3M CENTER ST. PAUL, MN55144-1000 |
X |
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Chairman and CEO |
Signatures
/s/ Patricia L. Meagher, attorney-in-fact for Michael F. Roman | 2022-02-09 |
**Signature of Reporting Person | Date |
Explanation of Responses:
(*) | 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) | Represents shares of 3M common stock that will be delivered pursuant to the terms of a performance share award made to the reporting person on March 1, 2019. The performance-based vesting requirements applicable to such award were satisfied on the date reported in Column 2 above, which represents the date on which the level of performance attained was certified. The reporting person previously elected to defer receipt of the shares and will not have voting or investment powers with respect to such shares until they are issued. |
(2) | Includes shares acquired under 3M's General Employee Stock Purchase Plan. |
(3) | Includes dividend share equivalents, accrued quarterly, pursuant to 3M's Deferred Compensation Plan. |
(4) | The number of shares withheld for taxes was estimated and will be revised by amendment if necessary. |
(5) | The stock option will vest and become exercisable in a series of three equal installments on each of the first, second and third anniversary of the grant date. |
Attachments
Disclaimer
3M Company published this content on 09 February 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 09 February 2022 23:56:27 UTC.