SEC Form 4 · accession 0001467858-17-000041
General Motors Co · GM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karl-Thomas Neumann
Officer — Executive Vice President
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 5:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467858
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 10, 2017 | M | 7,143 | $0.00 | A | 10,159 | D | |
| Common Stock | Feb 10, 2017 | F | 3,392 | $35.17 | D | 6,767 | D | |
| Common StockF2 | Feb 11, 2017 | M | 5,254 | $0.00 | A | 12,021 | D | |
| Common Stock | Feb 11, 2017 | F | 2,495 | $35.17 | D | 9,526 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3,F4 | $0.00 | Feb 10, 2017 | M | 7,143 | D | — | — | Common Stock | 7,143 | 14,285 | D |
| Restricted Stock UnitsF5,F4 | $0.00 | Feb 11, 2017 | M | 5,254 | D | — | — | Common Stock | 5,254 | 5,254 | D |
Explanation of responses
- F1The Common Stock reported in this item was issued and delivered upon the vesting of a grant of Restricted Stock Units ("RSUs") awarded on February 10, 2016, pursuant to the Company's 2014 Long-Term Incentive Plan ("GMLTIP").
- F2The Common Stock reported in this item was issued and delivered upon the vesting of a grant of RSUs awarded on February 11, 2015, pursuant to the 2014 GMLTIP.
- F3The RSUs reported in this item were granted on February 10, 2016 and began being settled in three equal, annual installments on February 10, 2017. Each RSU represents a right to receive one share of the Company's common stock upon settlement.
- F4The RSUs do not have a conversion or exercise price, or a date on which they are exercisable or expire.
- F5The RSUs reported in this item were granted on February 11, 2015 and began being settled in three equal, annual installments on February 11, 2016. Each RSU represents a right to receive one share of the Company's common stock upon settlement.