3M CO Reported by LACEY ROGER HD FORM 4 (Statement of Changes in Beneficial Ownership) Filed 02/07/13 for the Period Ending 02/05/13 Address Telephone CIK Symbol SIC Code Industry Sector Fiscal Year 3M CENTER BLDG. 220-11W-02 ST PAUL, MN 55144-1000 6517332204 0000066740 MMM 3841 - Surgical and Medical Instruments and Apparatus Constr. - Supplies & Fixtures Capital Goods 12/31 http://www.edgar-online.com © Copyright 2015, EDGAR Online, Inc. All Rights Reserved. Distribution and use of this document restricted under EDGAR Online, Inc. Terms of Use. FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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 1. Name and Address of Reporting Person * 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Lacey Roger HD 3M CO [ MMM ] (Last) (First) 3. Date of Earliest Transaction (MM/DD/YYYY) (Middle) (Street) (State) _____ Other (specify 4. If Amendment, Date Original Filed Senior Vice President 6. Individual or Joint/Group Filing (Check (MM/DD/YYYY) Applicable Line) ST. PAUL, MN 55144-1000 (City) _____ 10% Owner __ X __ Officer (give title below) below) 2/5/2013 3M CENTER _____ Director _ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person (Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Trans. Date 2A. 3. Trans. Deemed Code Execution (Instr. 8) Date, if any Code Common Stock 2/5/2013 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) (A) or V Amount (D) Price 5671.8 A (1) A $0 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 27416.8 (2) D 313 (3) I Common Stock 7. Nature of Indirect Beneficial Ownership (Instr. 4) By 401k/paesop Trust Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security (Instr. 3) 2. 3. Trans. Conversion Date or Exercise Price of Derivative Security 3A. 4. Trans. Deemed Code Execution (Instr. 8) Date, if any Code V Non-qualified Stock Option (Right to $101.49 2/5/2013 A 5. Number of 6. Date Exercisable Derivative and Expiration Date Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) (A) (D) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) Date Expiration Title Exercisable Date 16410 Buy) (4) 2/5/2014 (4) 2/3/2023 Common Stock 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) $0 16410 D Amount or Number of Shares 16410 11. Nature of Indirect Beneficial Ownership (Instr. 4) Explanation of Responses: ( 1) This transaction reflects the imminent delivery of 5,671.800 shares of 3M Common Stock earned as the result of the 2010 performance shares awarded to the reporting person under the 3M Long-Term Incentive Plan. The number of shares to be withheld for taxes is still being determined. An amended filing will be done once the number of shares to be withheld for taxes is determined. ( 2) Includes shares acquired under 3M's General Employee Stock Purchase Plan. ( 3) Includes shares acquired during the fiscal year pursuant to the 3M Voluntary Investment Plan. ( 4) The option becomes exercisable in equal installments on each of the first three anniversaries of the grant date (2/5/2013). Reporting Owners Reporting Owner Name / Address Lacey Roger HD 3M CENTER Relationships Director 10% Owner Officer Senior Vice President Other ST. PAUL, MN 55144-1000 Signatures George Ann Biros, attorney-in-fact for Roger H.D. Lacey ** Signature of Reporting Person 2/7/2013 Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * 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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. 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.