SEC Form 4 · accession 0001467858-18-000034
General Motors Co · GM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S. Batey
Officer — Executive Vice President
Period of report
Feb 10, 2018
Accepted (ET)
Feb 13, 2018 · 7:12 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, 2018 | M | 8,120 | $0.00 | A | 74,768 | D | |
| Common Stock | Feb 10, 2018 | F | 2,402 | $41.46 | D | 72,366 | D | |
| Common StockF2 | Feb 11, 2018 | M | 5,973 | $0.00 | A | 78,339 | D | |
| Common Stock | Feb 11, 2018 | F | 1,745 | $41.46 | D | 76,594 | D | |
| Common StockF3 | Feb 11, 2018 | A | 107,514 | $0.00 | A | 184,108 | D | |
| Common Stock | Feb 11, 2018 | F | 46,041 | $41.46 | D | 138,067 | 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 10, 2018 | M | 8,120 | D | — | — | Common Stock | 8,120 | 8,120 | D |
| Restricted Stock UnitsF6,F5 | $0.00 | Feb 11, 2018 | M | 5,973 | D | — | — | Common Stock | 5,973 | 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 10, 2016.
- F2The Common Stock reported in this item was issued and delivered upon the vesting of a grant of RSUs awarded on February 11, 2015.
- F3On February 11, 2015, the Reporting Person received a grant of Performance Stock Units ("PSUs"). Under the grant, PSUs could be earned based on the achievement of certain financial targets. PSUs vested and settled in shares of common stock on February 11, 2018.
- F4The RSUs were awarded on February 10, 2016. One-third of the RSUs vested on February 10, 2018, and the remaining one-third will vest on February 10, 2019. Each RSU represents a right to receive one share of the Company's Common Stock upon settlement.
- 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 February 11, 2015 and were settled on February 11, 2018.