3M CO Reported by SAUER BRAD T FORM 4 (Statement of Changes in Beneficial Ownership) Filed 08/02/07 for the Period Ending 11/01/06 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. 3M CO FORM () Filed 8/2/2007 For Period Ending 11/1/2006 Address 3M CENTER BLDG. 220-11W-02 ST PAUL, Minnesota 55144-1000 Telephone 651-733-2204 CIK 0000066740 Fiscal Year 12/31 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 Expires: January 31, 2008 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) 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) SAUER BRAD T 3M CO [ MMM ] (Last) (First) 3. Date of Earliest Transaction (MM/DD/YYYY) (Middle) (Street) (State) _____ Other (specify 4. If Amendment, Date Original Filed EXEC VP HEALTH CARE 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) 11/1/2006 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. 4. Securities Acquired 5. Amount of Securities Beneficially Deemed Code (A) or Disposed of (D) Owned Following Reported Transaction(s) Execution (Instr. 8) (Instr. 3 and 4) Date, if (Instr. 3, 4 and 5) any (A) or Code V Amount (D) Price 11/1/2006 Common Stock G 187 (1) D $0 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 13581 D Common Stock 8/1/2007 M 7252 A $58.625 20212 D Common Stock 8/1/2007 F 4797 D $88.61 15415 D Common Stock 8/1/2007 F 802 D $88.61 14613 D Common Stock 8/1/2007 M 1881 A $61.85 16494 D Common Stock 8/1/2007 F 1312 D $88.61 15182 D Common Stock 8/1/2007 F 185 D $88.61 14997 D 1015 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. Deemed Execution Date, if any 4. Trans. Code (Instr. 8) Code V Non-Qualified Stock Option (right to buy) $58.625 8/1/2007 Non-Qualified Stock Option (right to buy) $61.85 8/1/2007 Non-Qualified Stock Option (right to buy) $88.65 Non-Qualified Stock Option (right to buy) $88.65 8/1/2007 8/1/2007 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 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) Amount or Number of Shares M 7252 5/8/2002 5/8/2011 Common Stock 7252 $0 0 D M 1881 5/14/2004 5/12/2013 Common Stock 1881 $0 42119 D A 5599 2/1/2008 5/6/2011 Common Stock 5599 $0 5599 D A 1497 2/1/2008 5/13/2013 Common Stock 1497 $0 1497 D 11. Nature of Indirect Beneficial Ownership (Instr. 4) Explanation of Responses: ( 1) Gift to charity was inadvertently excluded from Form 5 filed on 1/29/2007. Remarks: The indirectly-held common stock holding (401k/PAESOP) reported in Table I includes shares acquired during the fiscal year pursuant to the 3M Voluntary Investment Plan. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer SAUER BRAD T 3M CENTER ST. PAUL, MN 55144-1000 Other EXEC VP HEALTH CARE Signatures By: GeorgeAnn Biros For: Bradley T Sauer 8/2/2007 ** Signature of Reporting Person 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.