Initial Statement of Beneficial Ownership (3)
July 20 2020 - 4:49PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Carlisle Stephen K. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/15/2020
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3. Issuer Name and Ticker or Trading Symbol
General Motors Co [GM]
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(Last)
(First)
(Middle)
300 RENAISSANCE CENTER |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Executive Vice President / |
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(Street)
DETROIT, MI 48265
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 55409 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units (1) | 4/1/2021 | 4/1/2021 | Common Stock | 1560.0 | $0.0 | D | |
| Employee Stock Option (Right to Buy) (2) | 2/15/2020 (2) | 7/28/2025 | Common Stock | 151844.0 | $31.32 | D | |
| Employee Stock Option (Right to Buy) (3) | 2/14/2020 (3) | 6/7/2027 | Common Stock | 40412.0 | $34.34 | D | |
| Employee Stock Option (Right to Buy) (4) | (4) | 2/11/2028 | Common Stock | 24306.0 | $41.4 | D | |
| Employee Stock Option (Right to Buy) (5) | (5) | 2/11/2028 | Common Stock | 18565.0 | $39.5 | D | |
| Employee Stock Option (Right to Buy) (6) | (6) | 2/13/2029 | Common Stock | 45834.0 | $39.0 | D | |
| Employee Stock Option (Right to Buy) (7) | (7) | 2/12/2030 | Common Stock | 75645.0 | $35.49 | D | |
| Explanation of Responses: |
| (1) | The Restricted Stock Units ("RSUs") reported in this item were awarded on May 7, 2020, pursuant to the Company's 2017 Long-Term Incentive Plan. The RSUs will vest on April 1, 2021, and will be settled in shares of the Company's common stock. |
| (2) | These Stock Options were granted on July 28, 2015, under the Company's 2014 Long-Term Incentive Plan. Forty percent of the options became exercisable on February 15, 2017; the remaining 60% became exercisable in three equal installments on February 15, 2018, February 15, 2019, and February 15, 2020. |
| (3) | These Stock Options were granted on June 7, 2017, under the Company's 2017 Long-Term Incentive Plan. The options became exercisable in three equal installments. The first installment became exercisable on February 14, 2018, and the next two installments became exercisable on February 14, 2019, and February 14, 2020. |
| (4) | These Stock Options were granted on February 13, 2018, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2019; one-third became exercisable February 13, 2020; and one-third will become exercisable on Februry 13, 2021. |
| (5) | These Stock Options were granted on July 2, 2018, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2019; one-third became exercisable on February 13, 2020; and one-third will become exercisable on February 13, 2021. |
| (6) | These Stock Options were granted on February 13, 2019, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2020; one-third will become exercisable on February 13, 2021; and one-third will become exercisble on February 13, 2022. |
| (7) | These Stock Options were granted on February 12, 2020, under the Company's 2017 LTIP. One-third will vest on February 12, 2021; one-third will vest on February 12, 2022; and one-third will vest on February 12, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Carlisle Stephen K.
300 RENAISSANCE CENTER
DETROIT, MI 48265 |
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| Executive Vice President |
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Signatures
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| /s/ Tia Y. Turk, Attorney-in-Fact for Mr. Carlisle | | 7/20/2020 |
| **Signature of Reporting Person | Date |
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