Statement of Changes in Beneficial Ownership (4)
June 11 2021 - 6:19PM
Edgar (US Regulatory)
FORM 4
[ ]
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
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MOTT RANDALL D |
2. Issuer Name and Ticker or Trading Symbol
General Motors Co
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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 & CIO |
(Last)
(First)
(Middle)
300 RENAISSANCE CENTER, M/C: 482-C24-A68 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
(Street)
DETROIT, MI 48265-3000
(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 | 6/9/2021 | | M | | 6000 (1) | A | $31.32 | 122113 | D | |
Common Stock | 6/9/2021 | | S | | 6000 (1) | D | $64.01 (2) | 116113 | 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 | 6/9/2021 | | M | | | 6000 (1) | (3) | 2/28/2025 | Common Stock | 6000.0 | $0 | 180705 | D | |
Explanation of Responses: |
(1) | The transaction reported in this Form 4 was 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 $64.00 to $64.03, 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) | On July 28, 2015, the Reporting Person was granted 345,705 Stock Options: 40% vested on February 2017, the remaining 60% became exercisable in three equal installments on February 15, 2018, February 15, 2019, and February 15, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MOTT RANDALL D 300 RENAISSANCE CENTER M/C: 482-C24-A68 DETROIT, MI 48265-3000 |
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| Executive Vice President & CIO |
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Signatures
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/s/ Tia Y. Turk, attorney-in-fact for Mr. Mott | | 6/11/2021 |
**Signature of Reporting Person | Date |
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