Rhodes Kevin H's Form 4 filing
3M Co (MMM) · filed Oct 31, 2022
- Accession no.
- 0001127602-22-024479
- Filed
- Oct 31, 2022
- Trade date
- Oct 28, 2022
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $720.8K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rhodes Kevin HCIK 0001901300 | Officer (EVP & Chief Legal Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | Common Stock | MOption exerciseAcquired | +5,703 | $101.49 | +$578,797.47 | 7,736.41 | Direct | |
| Oct 28, 2022 | Common Stock | SSaleDisposed | −1,269 | $126.39 | −$160,388.91 | 6,467.41 | Direct | |
| Oct 28, 2022 | Common Stock | SSaleDisposed | −600 | $126.39 | −$75,834 | 5,867.41 | Direct | |
| Oct 28, 2022 | Common Stock | SSaleDisposed | −100 | $126.40 | −$12,640 | 5,767.41 | Direct | |
| Oct 28, 2022 | Common Stock | SSaleDisposed | −3,734 | $126.40 | −$471,977.6 | 2,033.41 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | Common Stock | MOption exerciseDisposed | −5,703 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.