3M 2013 Annual Report Download - page 126

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120
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.
The information relating to security ownership of certain beneficial owners and management is set forth under the
designation “Information on Stock Ownership of Directors and Executive Officers” and “Security Ownership of More Than
5 Percent Stockholders” in the 3M Proxy Statement and such information is incorporated by reference herein.
Equity compensation plans information as of December 31, 2013 follows:
Equity Compensation Plans Information (1)
A
B
C
Plan Category
Number of
securities to be
issued upon
exercise of
outstanding
options, warrants
and rights
Weighted-
average exercise
price of
outstanding
options,
warrants and
rights
Number of securities
remaining available for
future issuance under
equity compensation
plans (excluding
securities reflected in
column (A))
Equity compensation plans approved by security holders
Stock options
43,938,778
$
83.84
―
Restricted stock units
3,105,361
―
Performance shares
895,635
―
Non-employee director deferred stock units
229,142
―
Total
48,168,916
38,355,501
Employee stock purchase plan
―
30,185,960
Subtotal
48,168,916
68,541,461
Total
48,168,916
68,541,461
(1) In column B, the weighted-average exercise price is only applicable to stock options. In column C, the number of
securities remaining available for future issuance for stock options, restricted stock units, and stock awards for non-
employee directors is approved in total and not individually with respect to these items.
Item 13. Certain Relationships and Related Transactions, and Director Independence.
With respect to certain relationships and related transactions as set forth in Item 404 of Regulation S-K, no matters
require disclosure with respect to transactions with related persons. The information required by Item 404(b) and Item
407(a) of Regulation S-K is contained under the captions “Governance of the Company — Related Person Transaction
Policy and Procedures” and “Governance of the Company — Director Independence” of the 3M Proxy Statement and
such information is incorporated by reference herein.
Item 14. Principal Accounting Fees and Services.
The information relating to principal accounting fees and services is set forth under the designation “Fees of the
Independent Registered Public Accounting Firm” and “Audit Committee Policy on Pre-Approval of Audit and Permissible
Non-Audit Services of the Independent Registered Public Accounting Firm” in the 3M Proxy Statement and such
information is incorporated by reference herein.