Statement of Changes in Beneficial Ownership (4)
January 13 2021 - 04:35PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Carlisle Stephen K. |
2. Issuer Name and Ticker or Trading Symbol
General Motors Co
[
GM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President |
(Last)
(First)
(Middle)
300 RENAISSANCE CENTER, M/C: 482-C24-A68 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/11/2021 |
(Street)
DETROIT, MI 48265
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/11/2021 | | M | | 50615 (1) | A | $31.32 | 106024 | D | |
Common Stock | 1/11/2021 | | S | | 50615 (1) | D | $45 (2) | 55409 | D | |
Common Stock | 1/12/2021 | | M | | 50614 (1) | A | $31.32 | 106023 | D | |
Common Stock | 1/12/2021 | | S | | 50614 (1) | D | $46.99 (3) | 55409 | D | |
Common Stock | 1/12/2021 | | M | | 20206 (1) | A | $34.34 | 75615 | D | |
Common Stock | 1/12/2021 | | S | | 20206 (1) | D | $47.87 (4) | 55409 | D | |
Common Stock | 1/12/2021 | | M | | 20206 (1) | A | $34.34 | 75615 | D | |
Common Stock | 1/12/2021 | | S | | 20206 (1) | D | $45.98 (5) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 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) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $31.32 | 1/11/2021 | | M | | | 50615 (1) | (6) | 7/28/2025 | Common Stock | 50615.0 | $0 | 50614 | D | |
Employee Stock Option (Right to Buy) | $31.32 | 1/12/2021 | | M | | | 50614 (1) | (6) | 7/28/2025 | Common Stock | 50614.0 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $34.34 | 1/12/2021 | | M | | | 20206 (1) | (7) | 6/7/2027 | Common Stock | 20206.0 | $0 | 20206 | D | |
Employee Stock Option (Right to Buy) | $34.34 | 1/12/2021 | | M | | | 20206 (1) | (7) | 6/7/2027 | Common Stock | 20206.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. |
(2) | The price in Column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices from $44.85 to $45.15, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote. |
(3) | The price in Column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices from $46.85 to $47.14, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote. |
(4) | The price in Column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices from $47.85 to $47.93, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote. |
(5) | The price in Column 4 is the weighted average selling price of the shares. The shares were sold in multiple transactions at prices from $45.85 to $46.41, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote. |
(6) | 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. |
(7) | These stock options were granted on June 7, 2017, under the Company's 2017 Long-Term Incentive Plan. The stock options vested in three equal installments on February 14, 2018, February 14, 2019, and February 14, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Carlisle Stephen K. 300 RENAISSANCE CENTER M/C: 482-C24-A68 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 | | 1/13/2021 |
**Signature of Reporting Person | Date |
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