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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
GM Stock $1-2/3 Par Value Restricted Stock Units (1) | $ 0 | 03/20/2007 | A | 27,000 | 03/20/2008(1) | (1) | General Motors Common Stock, $1-2/3 Par Value | 27,000 | $ 0 | 27,000 | D | ||||
GM Phantom Stock Units $1-2/3 Par Value Common Stock (3) | $ 0 | (3) | (3) | General Motors Common Stock, $1-2/3 Par Value | 7,494 | 7,494 | D | ||||||||
GM Stock $1-2/3 Par Value Restricted Stock Units (4) | $ 0 | (4) | (4) | General Motors Common Stock, $1-2/3 Par Value | 40,000 | 40,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 46.59 | 01/12/1999(5) | 01/13/2008 | General Motors Common Stock, $1-2/3 Par Value | 64,680 | 64,680 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 71.53 | 01/11/2000(5) | 01/12/2009 | General Motors Common Stock, $1-2/3 Par Value | 71,653 | 71,653 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 75.5 | 01/10/2001(5) | 01/11/2010 | General Motors Common Stock, $1-2/3 Par Value | 65,000 | 65,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 52.35 | 01/08/2002(5) | 01/09/2011 | General Motors Common Stock, $1-2/3 Par Value | 70,000 | 70,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 50.46 | 01/07/2003(5) | 01/08/2012 | General Motors Common Stock, $1-2/3 Par Value | 90,000 | 90,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 50.82 | 02/04/2003(5) | 02/05/2012 | General Motors Common Stock, $1-2/3 Par Value | 50,000 | 50,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 40.05 | 01/21/2004(5) | 01/22/2013 | General Motors Common Stock, $1-2/3 Par Value | 90,000 | 90,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 53.92 | 01/23/2005(5) | 01/24/2014 | General Motors Common Stock, $1-2/3 Par Value | 72,000 | 72,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 36.37 | 01/24/2006(5) | 01/25/2015 | General Motors Common Stock, $1-2/3 Par Value | 72,000 | 72,000 | D | ||||||||
GM Stock $1-2/3 Par Value Option (Right to Buy) (5) | $ 20.9 | 02/23/2007(5) | 02/24/2016 | General Motors Common Stock, $1-2/3 Par Value | 72,000 | 72,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOTTSCHALK THOMAS A 300 RENAISSANCE CENTER MC 482 C25 D81 DETROIT, MI 48265-3000 |
Executive Vice President |
/s/ Martin I. Darvick, attorney-in-fact for Mr. Gottschalk | 03/22/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Restricted Stock Units ("RSU") granted pursuant to Rule 16b-3 qualified General Motors 2006 Cash Based Restricted Stock Unit Plan. The RSUs are denominated in stock units but are to be paid in cash in three annual installments commencing, respectively, one, two and three years from the date of initial grant. Date shown in column 6 is the date the first installment is/was payable. The price of zero is notional and only used for purposes of facilitating the electronic filing of this Form. |
(2) | Shares held in trust under General Motors Savings Stock Purchase Program as of 12/31/06. State Street Bank & Trust Co., Trustee. Shares owned pursuant to Rule 16b-3 exempt employee savings plan. |
(3) | The Phantom Stock Units are held under Section 16b-3(c) exempt Rule 16b-3(b)(2) eligible excess benefit plan operated in conjunction with a qualified 401(k) plan. The Units are payable in cash upon separation from General Motors. These Units are being reported even though they are exempt under Rule 16b-3. Units held as of 12/31/06. The price of zero is notional and only used for purposes of facilitating the electronic filing of this Form. |
(4) | The Restricted Stock Units were accrued under the Rule 16b-3 qualified General Motors Stock Incentive Plan. Dividend equivalents are earned on each Restricted Stock Unit. Units held as of 12/31/2006. The Restricted Stock Units convert on a "1 for 1" basis. The price of zero is notional and only used for purpose of facilitating the electronic filing of this Form. |
(5) | Employee stock option granted pursuant to Rule 16b-3 qualified General Motors Stock Incentive Plan. Stock options vest and become exercisable in three equal annual installments, commencing, respectively, one, two and three years from the date of initial grant. Date shown in column 5 is the date the first installment becomes/became exercisable. |