SEC Form 4 · accession 0001467858-17-000057
General Motors Co · GM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Tsien
Officer — Executive Vice President
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 8:31 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 13, 2017 | M | 4,049 | $0.00 | A | 5,649 | D | |
| Common Stock | Feb 13, 2017 | D | 2,105 | $35.36 | D | 3,544 | D | |
| Common Stock | Feb 13, 2017 | F | 1,944 | $35.36 | D | 1,600 | D | |
| Common StockF2 | Feb 13, 2017 | M | 28,580 | $0.00 | A | 30,180 | D | |
| Common Stock | Feb 13, 2017 | D | 14,861 | $35.36 | D | 15,319 | D | |
| Common Stock | Feb 13, 2017 | F | 13,719 | $35.36 | D | 1,600 | D | |
| Common StockF3 | Feb 13, 2017 | M | 1,759 | $0.00 | A | 3,359 | D | |
| Common Stock | Feb 13, 2017 | D | 914 | $35.52 | D | 2,445 | D | |
| Common Stock | Feb 13, 2017 | F | 845 | $35.52 | D | 1,600 | 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 UnitsF4,F5 | $0.00 | Feb 13, 2017 | M | 4,049 | D | — | — | Common Stock | 4,049 | 0 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | Feb 13, 2017 | M | 28,580 | D | — | — | Common Stock | 28,580 | 0 | D |
| Restricted Stock UnitsF6,F5 | $0.00 | Feb 13, 2017 | M | 1,759 | D | — | — | Common Stock | 1,759 | 0 | 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 13, 2014 pursuant to the Company's 2009 Long-Term Incentive Plan (the "GMLTIP"). This is the final installment of this delivery. Each RSU represents a right to receive one share of the Company's Common Stock upon settlement. The employee is required to have these awards made by delivery in cash, less a portion withheld for taxes.
- F2The Common Stock reported in this item was issued and delivered upon the vesting of a grant of RSUs awarded on February 13, 2014, pursuant to the 2009 GMLTIP. This is the final installment of this delivery. Each RSU represents a right to receive one share of the Company's Common Stock upon settlement. The employee is required to have these awards made by delivery in cash, less a portion withheld for taxes.
- F3The Common Stock reported in this item was issued and delivered upon the vesting of a grant of RSUs awarded on June 11, 2014, pursuant to the 2014 GMLTIP. This is the final installment of this delivery. Each RSU represents a right to receive one share of the Company's Common Stock upon settlement. The employee is required to have these awards made by delivery in cash, less a portion withheld for taxes.
- F4The RSUs in this item were granted on February 13, 2014 and were settled on February 13, 2017.
- F5The RSUs do not have a conversion or exercise price, or a date on which they are exercisable or expire.
- F6The RSUs in this item were granted on June 11, 2014 and were settled on February 13, 2017.