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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN 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. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Restricted Stock Units | Â | 12/31/2009 | Â | J(1) | 132,808 | Â | Â (4) | Â (4) | Common Stock | (2) | 132,808 | Â | ||
Restricted Stock Units | Â | 12/31/2009 | Â | J(1) | 10,755 | Â | Â (5) | Â (5) | Common Stock | (2) | 10,755 | Â | ||
Restricted Stock Units | Â | 12/31/2009 | Â | J(1) | 72,261 | Â | Â (6) | Â (6) | Common Stock | (2) | 72,261 | Â | ||
Restricted Stock Units | Â | 12/31/2009 | Â | J(1) | 4,065 | Â | Â (7) | Â (7) | Common Stock | (2) | 4,065 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BUCKLEY GEORGE W 3M CENTER ST. PAUL, MN 55144-1000 |
 X |  |  CHAIRMAN OF THE BOARD & CEO |  |
George Ann Biros, attorney-in-fact for George W. Buckley | 01/15/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Due to reporting automation changes instituted by Issuer's stock plan vendor, the reporting person's restricted stock units will be reported on Table II going forward. This transaction indicates the number of restricted stock units that will be transferred to Table II. |
(2) | Each restricted stock unit represents a contingent right to receive one share of 3M common stock. |
(3) | Includes shares acquired during the fiscal year pursuant to the 3M Voluntary Investment Plan. |
(4) | The terms of the initial award (157,808 restricted stock units) provided for vesting as follows: 25,000 restricted stock units on 12/31/2006 and 132,808 on 12/6/2010. |
(5) | The terms of the initial award (50,000 restricted stock units) provided for vesting in five equal annual installments on the anniversary of the grant date, 12/6/2005. |
(6) | The restricted stock units will vest 100% three years from the grant date (2/9/2009). |
(7) | The terms of the initial award (5,420 restricted stock units) provided for vesting in four equal installments commencing 12/31/2009. |