SEC Form 3 | |||||||||||||||||||||||||
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | ||||||||||||||||||||||||
OMB APPROVAL | |||||||||||||||||||||||||
Washington, D.C. 20549 | |||||||||||||||||||||||||
OMB Number: | 3235-0104 | ||||||||||||||||||||||||
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF | Estimated average burden | ||||||||||||||||||||||||
hours per response: | 0.5 | ||||||||||||||||||||||||
SECURITIES | |||||||||||||||||||||||||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 | |||||||||||||||||||||||||
or Section 30(h) of the Investment Company Act of 1940 | |||||||||||||||||||||||||
1. Name and Address of Reporting Person * | 2. Date of Event Requiring | 3. Issuer Name and Ticker or Trading Symbol | |||||||||||||||||||||||
Parks Douglas L | (Month/Day/Year) | General Motors Co[ GM ] | |||||||||||||||||||||||
Statement | |||||||||||||||||||||||||
11/01/2019 | 4. Relationship of Reporting Person(s) to Issuer | 5. If Amendment, Date of Original Filed | |||||||||||||||||||||||
(Last) | (First) | (Middle) | (Check all applicable) | (Month/Day/Year) | |||||||||||||||||||||
300 RENAISSANCE CENTER | Director | 10% Owner | 6. Individual or Joint/Group Filing (Check | ||||||||||||||||||||||
Officer (give title | Other (specify | ||||||||||||||||||||||||
M/C: 482-C24-A68 | X | Applicable Line) | |||||||||||||||||||||||
below) | below) | ||||||||||||||||||||||||
X Form filed by One Reporting Person | |||||||||||||||||||||||||
Executive Vice President | |||||||||||||||||||||||||
Form filed by More than One | |||||||||||||||||||||||||
(Street) | |||||||||||||||||||||||||
Reporting Person | |||||||||||||||||||||||||
DETROIT | MI | 48265 | |||||||||||||||||||||||
(City) | (State) | (Zip) | |||||||||||||||||||||||
Table I - Non-Derivative Securities Beneficially Owned | |||||||||||||||||||||||||
1. Title of Security (Instr. 4) | 2. Amount of Securities | 3. Ownership | 4. Nature of Indirect Beneficial Ownership | ||||||||||||||||||||||
Beneficially Owned (Instr. 4) | Form: Direct (D) | (Instr. 5) | |||||||||||||||||||||||
or Indirect (I) | |||||||||||||||||||||||||
(Instr. 5) | |||||||||||||||||||||||||
Common Stock | 21,544 | D | |||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned | |||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and | 3. Title and Amount of Securities | 4. | 5. | 6. Nature of Indirect | ||||||||||||||||||||
Expiration Date | Underlying Derivative Security (Instr. 4) | Conversion | Ownership | Beneficial Ownership | |||||||||||||||||||||
(Month/Day/Year) | or Exercise | Form: | (Instr. 5) | ||||||||||||||||||||||
Price of | Direct (D) | ||||||||||||||||||||||||
Amount | |||||||||||||||||||||||||
Derivative | or Indirect | ||||||||||||||||||||||||
or | Security | (I) (Instr. 5) | |||||||||||||||||||||||
Number | |||||||||||||||||||||||||
Date | Expiration | of | |||||||||||||||||||||||
Exercisable | Date | Title | Shares | ||||||||||||||||||||||
Employee Stock Option (Right to Buy)(1) | (1) | 07/28/2025 | Common Stock | 22,776 | 31.32 | D | |||||||||||||||||||
Employee Stock Option (Right to Buy)(2) | (2) | 06/07/2027 | Common Stock | 12,299 | 34.34 | D | |||||||||||||||||||
Restricted Stock Units(3) | 10/02/2020 | 10/02/2020 | Common Stock | 17,794 | (4) | D | |||||||||||||||||||
Employee Stock Option (Right to Buy)(5) | (5) | 02/11/2028 | Common Stock | 22,193 | 41.4 | D | |||||||||||||||||||
Employee Stock Option (Right to Buy)(6) | (6) | 02/13/2029 | Common Stock | 24,500 | 39 | D | |||||||||||||||||||
Explanation of Responses: |
- These Stock Options were granted on July 28, 2015, (the "Grant Date") under the Company's 2014 Long-Term Incentive Plan (the "DSV Options") and will vest on February 15, 2020, provided that the Company meets or exceeds the median total shareholder return of the 14 original equipment manufacturers (other than GM) on the Dow Jones Automobiles and Parts Titans 30 Index on the Grant Date for the performance period from July 28, 2015, through December 31, 2019.
- These Stock Options were granted on June 7, 2017, under the Company's 2017 Long-Term Incentive Plan (the "2017 LTIP") and will vest on February 14, 2020.
- These Restricted Stock Units ("RSUs") were awarded on October 2, 2017, under the 2017 LTIP. The RSUs will vest and settle, contingent upon the officer's continued employment with the Company, in shares of common stock on a one-for-one basis on October 2, 2020.
- The RSUs do not have a conversion or exercise price.
- These Stock Options were granted on February 13, 2018, under the 2017 LTIP. One-third of the 22,193 Stock Options granted have vested; one-third will vest on February 13, 2020; and one-third will vest on February 13, 2021.
- These Stock Options were granted on February 13, 2019, under the 2017 LTIP. One-third of the 24,500 Stock Options granted will vest on February 13, 2020; one-third will vest on February 13, 2021; and one-third will vest on February 13, 2022.
Remarks:
/s/ Tia Y. Turk, Attorney-in- | 11/08/2019 |
Fact for Mr. Parks | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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GM - General Motors Company published this content on 08 November 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 08 November 2019 21:59:08 UTC