Item 15. Exhibits
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Item 15. Exhibits
| (a) | 1. All Financial Statements and Supplemental Information |
- Financial Statement Schedules
All financial statement schedules are omitted as the required information is inapplicable or the information is presented in the consolidated financial statements and notes thereto in Item 8.
- Exhibits
| (b) | Exhibits |
| Exhibit Number | Exhibit Name | |||
| 3.1 | Restated Certificate of Incorporation of General Motors Company dated December 7, 2010, incorporated herein by reference to Exhibit 3.2 to the Current Report on Form 8-K of General Motors Company filed December 13, 2010 | Incorporated by Reference | ||
| 3.2 | Amended and Restated Bylaws of General Motors Company, dated as of March 4, 2016, incorporated herein by reference to Exhibit 3.1 to the Current Report on Form 8-K of General Motors Company filed March 8, 2016 | Incorporated by Reference | ||
| 4.1 | Indenture dated as of September 27, 2013, between General Motors Company and the Bank of New York Mellon, as Trustee, incorporated herein by reference to Exhibit 4.2 to the Registration Statement on Form S-3 of General Motors Company filed April 30, 2014 | Incorporated by Reference | ||
| 4.2 | First Supplemental Indenture dated as of September 27, 2013 to the Indenture dated as of September 27, 2013 between General Motors Company and the Bank of New York Mellon, as Trustee, incorporated herein by reference to Exhibit 4.3 to the Registration Statement on Form S-4 of General Motors Company filed May 22, 2014 | Incorporated by Reference | ||
| 4.3 | Second Supplemental Indenture dated as of November 12, 2014 to the Indenture dated as of September 27, 2013 between General Motors Company and the Bank of New York Mellon, as Trustee, incorporated herein by reference to Exhibit 4.4 to the Current Report on Form 8-K of General Motors Company filed November 12, 2014 | Incorporated by Reference | ||
| 4.4 | Third Supplemental Indenture, dated as of February 23, 2016, to the Indenture, dated as of September 27, 2013, between General Motors Company, as issuer, and The Bank of New York Mellon, as Trustee, incorporated herein by reference to Exhibit 4.1 to the Current Report on Form 8-K of General Motors Company filed February 23, 2016 | Incorporated by Reference | ||
| 10.1 | Stockholders Agreement, dated as of October 15, 2009 between General Motors Company, the United States Department of the Treasury, Canada GEN Investment Corporation (fka 7176384 Canada Inc.), the UAW Retiree Medical Benefits Trust, and, for limited purposes, General Motors LLC, incorporated herein by reference to Exhibit 10.8 to the Current Report on Form 8-K of General Motors Company filed November 16, 2009 | Incorporated by Reference | ||
| 10.2* | Equity Registration Rights Agreement, dated as of October 15, 2009, between General Motors Company, the United States Department of Treasury, Canada GEN Investment Corporation (fka 7176384 Canada Inc.), the UAW Retiree Medical Benefits Trust, Motors Liquidation Company, and, for limited purposes, General Motors LLC, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K of Motors Liquidation Company filed October 21, 2009 | Incorporated by Reference | ||
| 10.3* | Letter Agreement regarding Equity Registration Rights Agreement, dated October 21, 2010, among General Motors Company, the United States Department of Treasury, Canada GEN Investment Corporation, the UAW Retiree Medical Benefits Trust and Motors Liquidation Company, incorporated herein by reference to Exhibit 10.43 to Amendment No. 5 to the Registration Statement on Form S-1 (File No. 333-168919) of General Motors Company filed November 3, 2010 | Incorporated by Reference | ||
| 10.4* | Form of Compensation Statement, incorporated herein by reference to Exhibit 10.14 to the Annual Report on Form 10-K of General Motors Company filed April 7, 2010 | Incorporated by Reference | ||
| 10.5* | General Motors Company 2009 Long-Term Incentive Plan, as amended January 13, 2014, incorporated herein by reference to Exhibit 10.7 to the Annual Report on Form 10-K of General Motors Company filed February 6, 2014 | Incorporated by Reference | ||
| 10.6* | The General Motors Company Deferred Compensation Plan for Non-Employee Directors, incorporated herein by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q of General Motors Company filed May 6, 2011 | Incorporated by Reference | ||
| 10.7* | General Motors Company Executive Retirement Plan, with modifications through October 10, 2012, incorporated herein by reference to Exhibit 10.12 to the Annual Report on Form 10-K of General Motors Company filed February 15, 2013 | Incorporated by Reference |
GENERAL MOTORS COMPANY AND SUBSIDIARIES
| Exhibit Number | Exhibit Name | |||
| 10.8* | Amendment No. 1 to General Motors Company Executive Retirement Plan, with modifications through October 10, 2012, incorporated herein by reference to Exhibit 10.2 to the Current Report on Form 8-K of General Motors Company filed February 3, 2016 | Incorporated by Reference | ||
| 10.9* | General Motors Company Salary Stock Plan, as amended January 13, 2014, incorporated herein by reference to Exhibit 10.10 to the Annual Report on Form 10-K of General Motors Company filed February 6, 2014 | Incorporated by Reference | ||
| 10.10* | General Motors Company 2014 Short-Term Incentive Plan, incorporated herein by reference to Exhibit 10.2 to the Current Report on Form 8-K of General Motors Company filed June 12, 2014 | Incorporated by Reference | ||
| 10.11* | Amendment No. 1 to General Motors Company Short-Term Incentive Plan, incorporated herein by reference to Exhibit 10.3 to the Current Report on Form 8-K of General Motors Company filed February 3, 2016 | Incorporated by Reference | ||
| 10.12* | General Motors Company 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K of General Motors Company filed June 12, 2014 | Incorporated by Reference | ||
| 10.13* | General Motors Company 2016 Equity Incentive Plan, incorporated herein by reference to Exhibit 99.1 to the Registration Statement on Form S-8 of General Motors Company filed May 13, 2016 | Incorporated by Reference | ||
| 10.14* | Form of General Motors Company Restricted Stock Unit Agreement (cash settlement) dated December 15, 2011 under the 2009 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.26 to the Annual Report on Form 10-K of General Motors Company filed February 27, 2012 | Incorporated by Reference | ||
| 10.15* | Form of General Motors Company Restated Stock Agreement (share settlement) dated December 15, 2011 under the 2009 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.27 to the Annual Report on Form 10-K of General Motors Company filed February 27, 2012 | Incorporated by Reference | ||
| 10.16* | General Motors Company Vehicle Operations - Senior Management Vehicle Program (SMVP) Supplement, revised December 15, 2005, incorporated herein by reference to Exhibit 10(g) to the Annual Report on Form 10-K of Motors Liquidation Company filed March 28, 2006 | Incorporated by Reference | ||
| 10.17* | General Motors LLC U.S. Executive Severance Program, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K of General Motors Company filed February 3, 2016 | Incorporated by Reference | ||
| 10.18 | Amended and Restated Warrant Agreement, dated as of October 16, 2009, between General Motors Company and U.S. Bank National Association, including Form of Warrant Certificate attached as Exhibit D thereto, relating to warrants with a $30 original ($10 after stock split) exercise price and a July 10, 2016 expiration date, incorporated herein by reference to Exhibit 10.29 to the Annual Report on Form 10-K of General Motors Company filed April 7, 2010 | Incorporated by Reference | ||
| 10.19 | Amended and Restated Warrant Agreement, dated as of October 16, 2009, between General Motors Company and U.S. Bank National Association, as Warrant Agent, including a Form of Warrant Certificate attached as Exhibit D thereto, relating to warrants with a $55 original ($18.33 after stock split) exercise price and a July 10, 2019 expiration date, incorporated herein by reference to Exhibit 10.30 to the Annual Report on Form 10-K of General Motors Company filed April 7, 2010 | Incorporated by Reference | ||
| 10.20† | Amended and Restated Master Agreement, dated as of December 19, 2012, between General Motors Holdings LLC and Peugeot S.A., incorporated herein by reference to Exhibit 10.24 to the Annual Report on Form 10-K of General Motors Company filed February 6, 2014 | Incorporated by Reference | ||
| 10.21† | Second Amended and Restated 3-Year Revolving Credit Agreement, dated as of May 26, 2016, among General Motors Company, General Motors Financial Company, Inc., GM Europe Treasury Company AB, General Motors do Brasil Ltda., the subsidiary borrowers from time to time parties thereto, the several lenders from time to time parties thereto, JPMorgan Chase Bank, N.A., as administrative agent, and Citibank, N.A., as syndication agent, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K of General Motors Company filed June 2, 2016 | Incorporated by Reference | ||
| 10.22† | Second Amended and Restated 5-Year Revolving Credit Agreement, dated as of May 26, 2016, among General Motors Company, General Motors Financial Company, Inc., General Motors do Brasil Ltda., the subsidiary borrowers from time to time parties thereto, the several lenders from time to time parties thereto, JPMorgan Chase Bank, N.A., as administrative agent, and Citibank, N.A., as syndication agent, incorporated herein by reference to Exhibit 10.2 to the Current Report on Form 8-K of General Motors Company filed June 2, 2016 | Incorporated by Reference | ||
| 10.23* | Director's Service Agreement between Adam Opel AG and Dr. Karl-Thomas Neumann, incorporated herein by reference to Exhibit 10.28 to the Annual Report on Form 10-K of General Motors Company filed February 6, 2014 | Incorporated by Reference | ||
| 10.24 | Amendment to Warrant Agreements between General Motors Company and U.S. Bank National Association, incorporated herein by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q of General Motors Company filed April 24, 2014 | Incorporated by Reference | ||
| 10.25* | Form of General Motors Company Restricted Stock Unit Award Agreement under the 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q of General Motors Company filed July 24, 2014 | Incorporated by Reference | ||
| 10.26* | Form of General Motors Company Performance Stock Unit Award Agreement under the 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.2 to the Quarterly Report on Form 10-Q of General Motors Company filed July 24, 2014 | Incorporated by Reference |
GENERAL MOTORS COMPANY AND SUBSIDIARIES
| Exhibit Number | Exhibit Name | |||
| 10.27* | Form of Non-Qualified Stock Option Agreement under the 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K of General Motors Company filed July 30, 2015 | Incorporated by Reference | ||
| 10.28* | Form of General Motors Company Restricted Stock Unit Award Agreement under the 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.4 to the Quarterly Report on Form 10-Q of General Motors Company filed April 21, 2016 | Incorporated by Reference | ||
| 10.29* | Form of General Motors Company Performance Stock Unit Award Agreement under the 2014 Long-Term Incentive Plan, incorporated herein by reference to Exhibit 10.5 to the Quarterly Report on Form 10-Q of General Motors Company filed April 21, 2016 | Incorporated by Reference | ||
| 10.30* | Form of Director and Officer Indemnification Agreement, incorporated herein by reference to Exhibit 10.6 to the Quarterly Report on Form 10-Q of General Motors Company filed April 21, 2016 | Incorporated by Reference | ||
| 12 | Computations of Ratio of Earnings to Fixed Charges and Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends for the Years Ended December 31, 2016, 2015, 2014, 2013 and 2012 | Filed Herewith | ||
| 21 | Subsidiaries and Joint Ventures of the Registrant as of December 31, 2016 | Filed Herewith | ||
| 23.1 | Consent of Independent Registered Public Accounting Firm for audited financial statements of General Motors Company | Filed Herewith | ||
| 23.2 | Consent of Independent Auditors for audited financial statements of SAIC General Motors Corp., Ltd. | Filed Herewith | ||
| 24 | Power of Attorney for Directors of General Motors Company | Filed Herewith | ||
| 31.1 | Section 302 Certification of the Chief Executive Officer | Filed Herewith | ||
| 31.2 | Section 302 Certification of the Chief Financial Officer | Filed Herewith | ||
| 32 | Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | Furnished with this Report | ||
| 99.1 | SAIC General Motors Corp., Ltd. (F.K.A. Shanghai General Motors Corp., Ltd.) and subsidiaries audited consolidated financial statements including the consolidated balance sheet as of December 31, 2016 and 2015, and the related consolidated statements of income and comprehensive income, equity and cash flow for the years then ended | Filed Herewith | ||
| 101.INS | XBRL Instance Document | Filed Herewith | ||
| 101.SCH | XBRL Taxonomy Extension Schema Document | Filed Herewith | ||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | Filed Herewith | ||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | Filed Herewith | ||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document | Filed Herewith | ||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | Filed Herewith |
| † | Certain confidential portions have been omitted pursuant to a granted request for confidential treatment, which has been separately filed with the SEC. |
| * | Management contracts and compensatory plans and arrangements required to be filed as exhibits pursuant to Item 15(b) of this Report. |
GENERAL MOTORS COMPANY AND SUBSIDIARIES
SIGNATURES
Pursuant to the requirements of Section 13 of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
| GENERAL MOTORS COMPANY (Registrant) | ||||
| By: | /s/ MARY T. BARRA | |||
| Mary T. Barra Chairman & Chief Executive Officer | ||||
| Date: | February 7, 2017 |
GENERAL MOTORS COMPANY AND SUBSIDIARIES
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below on this 7th day of February 2017 by the following persons on behalf of the registrant and in the capacities indicated, including a majority of the directors.
| Signature | Title | |
| /s/ MARY T. BARRA | Chairman & Chief Executive Officer | |
| Mary T. Barra | ||
| /s/ CHARLES K. STEVENS III | Executive Vice President and Chief Financial Officer | |
| Charles K. Stevens III | ||
| /s/ THOMAS S. TIMKO | Vice President, Controller and Chief Accounting Officer | |
| Thomas S. Timko | ||
| /s/ THEODORE M. SOLSO* | Lead Director | |
| Theodore M. Solso | ||
| /s/ JOSEPH J. ASHTON* | Director | |
| Joseph J. Ashton | ||
| /s/ LINDA R. GOODEN* | Director | |
| Linda R. Gooden | ||
| /s/ JOSEPH JIMENEZ* | Director | |
| Joseph Jimenez | ||
| /s/ JANE L. MENDILLO* | Director | |
| Jane L. Mendillo | ||
| /s/ ADMIRAL MICHAEL G. MULLEN, USN (ret.)* | Director | |
| Admiral Michael G. Mullen, USN (ret.) | ||
| /s/ JAMES J. MULVA* | Director | |
| James J. Mulva | ||
| /s/ PATRICIA F. RUSSO* | Director | |
| Patricia F. Russo | ||
| /s/ THOMAS M. SCHOEWE* | Director | |
| Thomas M. Schoewe | ||
| /s/ CAROL M. STEPHENSON* | Director | |
| Carol M. Stephenson |
| *By: | /s/ JILL E. SUTTON | |
| Jill E. Sutton | ||
| Attorney-in-Fact |
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