SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF 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
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1. Name and Address of Reporting Person*
Carlisle Stephen K.

(Last) (First) (Middle)
300 RENAISSANCE CENTER

(Street)
DETROIT MI 48265

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/15/2020
3. Issuer Name and Ticker or Trading Symbol
General Motors Co [ GM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Executive Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 55,409 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 Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units(1) 04/01/2021 04/01/2021 Common Stock 1,560 0.0 D
Employee Stock Option (Right to Buy)(2) 02/15/2020(2) 07/28/2025 Common Stock 151,844 31.32 D
Employee Stock Option (Right to Buy)(3) 02/14/2020(3) 06/07/2027 Common Stock 40,412 34.34 D
Employee Stock Option (Right to Buy)(4) (4) 02/11/2028 Common Stock 24,306 41.4 D
Employee Stock Option (Right to Buy)(5) (5) 02/11/2028 Common Stock 18,565 39.5 D
Employee Stock Option (Right to Buy)(6) (6) 02/13/2029 Common Stock 45,834 39 D
Employee Stock Option (Right to Buy)(7) (7) 02/12/2030 Common Stock 75,645 35.49 D
Explanation of Responses:
1. The Restricted Stock Units ("RSUs") reported in this item were awarded on May 7, 2020, pursuant to the Company's 2017 Long-Term Incentive Plan. The RSUs will vest on April 1, 2021, and will be settled in shares of the Company's common stock.
2. These Stock Options were granted on July 28, 2015, under the Company's 2014 Long-Term Incentive Plan. Forty percent of the options became exercisable on February 15, 2017; the remaining 60% became exercisable in three equal installments on February 15, 2018, February 15, 2019, and February 15, 2020.
3. These Stock Options were granted on June 7, 2017, under the Company's 2017 Long-Term Incentive Plan. The options became exercisable in three equal installments. The first installment became exercisable on February 14, 2018, and the next two installments became exercisable on February 14, 2019, and February 14, 2020.
4. These Stock Options were granted on February 13, 2018, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2019; one-third became exercisable February 13, 2020; and one-third will become exercisable on Februry 13, 2021.
5. These Stock Options were granted on July 2, 2018, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2019; one-third became exercisable on February 13, 2020; and one-third will become exercisable on February 13, 2021.
6. These Stock Options were granted on February 13, 2019, under the Company's 2017 LTIP. One-third became exercisable on February 13, 2020; one-third will become exercisable on February 13, 2021; and one-third will become exercisble on February 13, 2022.
7. These Stock Options were granted on February 12, 2020, under the Company's 2017 LTIP. One-third will vest on February 12, 2021; one-third will vest on February 12, 2022; and one-third will vest on February 12, 2023.
Remarks:
/s/ Tia Y. Turk, Attorney-in-Fact for Mr. Carlisle 07/20/2020
** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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