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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, 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lalor Angela S 3M CENTER ST. PAUL, MN 55144-1000 |
VICE PRESIDENT HR |
George Ann Biros, attorney-in-fact for Angela Lalor | 02/23/2011 | |
**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) | On February 9, 2011, the reporting person reported the imminent delivery of a number of shares of 3M Common Stock earned as a result of the 2008 performance shares awarded to such person under the 3M Performance Unit Plan. The number of shares to be withheld from this delivery for the payment of withholding taxes was unknown. This amendment is being filed to update the Form 4 with the number of shares used for tax withholding, in addition to correcting the number of shares to be delivered. The amount reported on February 9, 2011 reflected a rounded whole number of shares, while the amount of shares actually earned includes a fractional share of stock. This updated Form 4 reflects the shares earned without rounding. |
(2) | On February 9, 2011, the reporting person reported the deferred receipt of a number of shares of 3M Common Stock earned as the result of the 2008 performance shares awarded to such person under the 3M Performance Unit Plan. The number of shares to be withheld for payment of FICA withholding taxes was unknown. This amendment is being filed to update the Form 4 with the number of shares used for FICA withholding. The amount reported on February 9, 2011 also reflected a rounded whole number of shares, while the amount actually earned includes a fractional share of stock. This updated Form 4 reflects the shares earned without rounding. Under the terms of the 3M Deferred Compensation Plan, the reporting person elected to defer receipt of these shares which become payable one year after the reporting person retires. There are no voting or investment powers with respect to these shares. |
(3) | Includes shares acquired under 3M's General Employee Stock Purchase Plan. |