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| Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
|---|---|---|---|---|---|
| General Electric Company | LSE:GEC | London | Ordinary Share | COM STK USD0.01 (CDI) |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.00 | 0.00% | 105.00 | 459,722 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 18.12 | 166.45B |
TIDMGEC
RNS Number : 4816A
General Electric Company
11 September 2018
SEC Form 4
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Premium
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) Timko Thomas S 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/10/2018
---------------------------------------------------------------------------------------------
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned Following (I) (Instr. Ownership
(Month/Day/Year) Reported 4) (Instr.
Transaction(s) 4)
(Instr. 3 and
4)
----------------- ----------------- ---------------------- ------------------------- ------------------- ------------------------ ---------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ------------ ----------- ---- ------ ------ ----------- --------------- ------- ----- --------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and Amount 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration of Securities Underlying of of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) Derivative Security Derivative Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) (Instr. 3 and 4) Security Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed (Instr. Owned Indirect (Instr.
of of (D) (Instr. 5) Following (I) (Instr. 4)
Derivative 3, 4 and 5) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- -------------------------- ----------- --------------- -------------- --------------------------------
Amount
Date Expiration or Number
Code V (A) (D) Exercisable Date Title of Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Unit (1) 09/10/2018 A 270,000 (2) (2) Stock 270,000 $0 270,000 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in three equal annual installments of 33.3% each beginning on the first anniversary
of the grant date.
Remarks:
Julia L. Chen on behalf 09/11/2018
of Thomas S. Timko
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) Stokes Russell 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/09/2018
---------------------------------------------------------------------------------------------
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
----------------- ----------------- ---------------------- ------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 09/09/2018 M 4,000 A $0 185,894 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 09/09/2018 F 1,814 D $12.35 184,080 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration Amount of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) of Securities Security Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) Underlying (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed Derivative 5) Owned Indirect (Instr.
of of (D) (Instr. Security Following (I) (Instr. 4)
Derivative 3, 4 and 5) (Instr. 3 and 4) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- ------------------ --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- ------- ----- -----------------------------------
Restricted
Stock Common
Units (1) 09/09/2018 M 4,000 09/09/2018 09/09/2018 Stock 4,000 $0 12,000 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- -------------- -----------------------------------
Explanation of Responses:
1. 1 for 1
Remarks:
Brian Sandstrom on behalf 09/11/2018
of Russell Stokes
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) DIMITRIEF ALEXANDER 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/09/2018
---------------------------------------------------------------------------------------------
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
----------------- ----------------- ---------------------- ------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 09/09/2018 09/09/2018 M 3,200 A $0 94,478 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 09/09/2018 09/09/2018 F 1,403 D $12.35 93,075 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 76,794 I by 401(k)
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration Amount of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) of Securities Security Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) Underlying (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed Derivative 5) Owned Indirect (Instr.
of of (D) (Instr. Security Following (I) (Instr. 4)
Derivative 3, 4 and 5) (Instr. 3 and 4) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- ------------------ --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- ------- ----- -----------------------------------
Restricted
Stock Common
Units (1) 09/09/2018 M 3,200 09/09/2018 09/09/2018 Stock 3,200 $0 9,600 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- -------------- -----------------------------------
Explanation of Responses:
1. 1 for 1
Remarks:
Brian Sandstrom on behalf 09/11/2018
of Alexander Dimitrief
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) Flannery John Leonard 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
CEO and Director
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/09/2018
---------------------------------------------------------------------------------------------
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
----------------- ----------------- ---------------------- ------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 09/09/2018 M 5,400 A $0 597,563 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 09/09/2018 F 2,401 D $12.35 595,162 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 113,215 I 401(k) plan
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration Amount of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) of Securities Security Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) Underlying (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed Derivative 5) Owned Indirect (Instr.
of of (D) (Instr. Security Following (I) (Instr. 4)
Derivative 3, 4 and 5) (Instr. 3 and 4) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- ------------------ --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- ------- ----- -----------------------------------
Restricted
Stock Common
Units (1) 09/09/2018 M 5,400 09/09/2018 09/09/2018 Stock 5,400 $0 16,200 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- -------------- -----------------------------------
Explanation of Responses:
1. 1 for 1
Remarks:
Brian Sandstrom on behalf 09/11/2018
of John L. Flannery
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) Miller Jamie S 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/09/2018
---------------------------------------------------------------------------------------------
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
----------------- ----------------- ---------------------- ------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 09/09/2018 M 4,000 A $0 268,759 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 09/09/2018 F 1,778 D $12.35 266,981 D
----------------- ----------------- -------- ------------ ---------- ---- ------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration Amount of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) of Securities Security Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) Underlying (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed Derivative 5) Owned Indirect (Instr.
of of (D) (Instr. Security Following (I) (Instr. 4)
Derivative 3, 4 and 5) (Instr. 3 and 4) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- ------------------ --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- ------- ----- -----------------------------------
Restricted
Stock Common
Units (1) 09/09/2018 M 4,000 09/09/2018 09/09/2018 Stock 4,000 $0 12,000 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- --------- ------- --------------- --------------- -------------- -----------------------------------
Explanation of Responses:
1. 1 for 1
Remarks:
Brian Sandstrom on behalf 09/11/2018
of Jamie Miller
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) Joyce David Leon 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Vice Chairman
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/06/2018
-----------------------------------------------------------------------------------------------
4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing
09/10/2018 (Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting
Person
----------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
----------------- ----------------- --------------------- ---------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
----------------- ----------------- -------- ----------- ------------- ---- ------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 09/06/2018 M 28,000(1) A $0 532,779 D
----------------- ----------------- -------- ----------- ------------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 09/06/2018 F 12,335 D $12.65 520,444 D
----------------- ----------------- -------- ----------- ------------- ---- ------- --------------- ------------------------ ------------------------------------------
Common Stock 35,608 I 401(k) plan
----------------- ----------------- -------- ----------- ------------- ---- ------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number of 6. Date Exercisable 7. Title and Amount 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Transaction Derivative and Expiration of Securities of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, Code (Instr. Securities Date (Month/Day/Year) Underlying Security Securities Direct Beneficial
(Instr. Exercise if any 8) Acquired (A) Derivative Security (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed (Instr. 3 and 4) 5) Owned Indirect (Instr.
of of (D) (Instr. Following (I) (Instr. 4)
Derivative 3, 4 and 5) Reported 4)
Security Transaction(s)
(Instr.
4)
----------- ------------------- ----------------- -------------- ------------------------------------ ----------------------------- -------------------- --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ----------- ------- --------------- --------------- ------- ----- -----------------------------------
Restricted
Stock Common
Unit (2) 09/06/2018 M 28,000 09/06/2018 09/06/2018 Stock 28,000 $0 0(1) D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ----------- ------- --------------- --------------- -------------- -----------------------------------
Explanation of Responses:
1. Form 4 amended to show 28,000 units vested on 9/6/2018.
2. 1 for 1
Remarks:
Brian Sandstrom on behalf 09/11/2018
of David Joyce
** Signature of Reporting Date
Person
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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
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 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Person(*) Timko Thomas S Requiring GENERAL ELECTRIC CO [ GE ]
Statement
(Last) (First) (Middle) (Month/Day/Year)
GENERAL ELECTRIC COMPANY 09/10/2018
41 FARNSWORTH STREET
(Street) BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) 5. If Amendment, Date of Original Filed (Month/Day/Year)
to Issuer
(Check all applicable) Director 10% Owner
X Officer (give Other (specify
title below) below)
Vice President
------------------------------------------------------------------- ------------------------------------------------------------------------------
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 3. Ownership 4. Nature of Indirect Beneficial
Beneficially Owned (Instr. Form: Direct Ownership (Instr. 5)
4) (D) or Indirect
(I) (Instr.
5)
--------------------------------- --------------------------- -----------------------------------------------------
Common Stock 0 D
--------------------------------- --------------------------- -----------------------------------------------------
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 2. Date Exercisable 3. Title and Amount of Securities 4. 5. Ownership 6. Nature of Indirect
4) and Expiration Underlying Derivative Security Conversion Form: Direct Beneficial Ownership
Date (Month/Day/Year) (Instr. 4) or Exercise (D) or Indirect (Instr. 5)
Price of (I) (Instr.
Derivative 5)
Security
------------------------------------------- ------------------------------------------------ ------------- ------------------- -----------------------------
Amount
Date Expiration or Number
Exercisable Date Title of Shares
----------------------- ------------------ --------------------------------- ------------- ---------- ------- ---------- -----------------------------
Explanation of Responses:
Remarks:
Julia L. Chen on behalf 09/11/2018
of Thomas S. Timko
** Signature of Reporting Date
Person
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
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 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Person(*) Stokes Russell Requiring Statement GENERAL ELECTRIC CO [ GE ]
(Month/Day/Year)
(Last) (First) (Middle) 09/07/2018
41 FARNSWORTH STREET
(Street) BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) 5. If Amendment, Date of Original Filed (Month/Day/Year)
to Issuer
(Check all applicable) Director 10% Owner
X Officer (give Other (specify
title below) below)
Senior Vice President
----------------------------------------------------------- ----------------------------------------------------------------------------
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 3. Ownership 4. Nature of Indirect Beneficial
Beneficially Owned (Instr. Form: Direct Ownership (Instr. 5)
4) (D) or Indirect
(I) (Instr.
5)
-------------------------------------- ----------------------- ---------------------------------------------------
Common Stock 181,894 D
-------------------------------------- ----------------------- ---------------------------------------------------
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 2. Date Exercisable 3. Title and Amount of Securities 4. 5. Ownership 6. Nature of Indirect
4) and Expiration Underlying Derivative Security Conversion Form: Direct Beneficial Ownership
Date (Month/Day/Year) (Instr. 4) or (D) or Indirect (Instr. 5)
Exercise (I) (Instr.
Price of 5)
Derivative
Security
---------------------------------- --------------------------------------------------- ----------- ------------------- -----------------------------
Amount
Date Expiration or Number
Exercisable Date Title of Shares
------------- ------------------- -------------------------------------- ----------- ---------- ------- ---------- -----------------------------
Restricted Stock Units (2) (2) Common Stock 15,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (3) (3) Common Stock 14,400 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (4) (4) Common Stock 16,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (5) (5) Common Stock 32,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (6) (6) Common Stock 22,400 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (7) (7) Common Stock 116,700 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/09/2009 09/09/2018 Common Stock 12,500 28.12 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 03/12/2010 03/12/2019 Common Stock 50,000 9.57 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 07/23/2010 07/23/2019 Common Stock 50,000 11.95 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 06/10/2011 06/10/2020 Common Stock 75,000 15.68 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 06/09/2012 06/09/2021 Common Stock 100,000 18.58 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/07/2013 09/07/2022 Common Stock 110,000 21.59 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/13/2014 09/13/2023 Common Stock 125,000 23.78 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/05/2015 09/05/2024 Common Stock 250,000 26.1 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/11/2016 09/11/2025 Common Stock 117,000 24.95 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/09/2017 09/09/2026 Common Stock 150,000 30.11 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 09/06/2018 09/06/2027 Common Stock 200,000 24.92 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 01/29/2019 01/29/2028 Common Stock 500,000 16.28 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Explanation of Responses:
1. 1-for-1
2. 75,000 units granted on 7/24/2014; 15,000 units vested on 7/24/2015; 15,000 units vested on 7/24/2016; 15,000 units
vested on 7/24/2017; 15,000 units vested on 7/24/2018; and 15,000 units are scheduled to vest on 7/24/2019.
3. 24,000 units granted on 9/11/2015; 4,800 units vested on 9/11/2016; 4,800 units vested on 9/11/2017; 4,800 units are
scheduled to vest on 9/11/2018; 4,800 units are scheduled to vest on 9/11/2019; and 4,800 units are scheduled to vest on
9/11/2020.
4. 20,000 units granted on 9/9/2016; 4,000 units vested on 9/9/2017; 4,000 units are scheduled to vest on 9/9/2018; 4,000
units are scheduled to vest on 9/9/2019; 4,000 units are scheduled to vest on 9/9/2020; and 4,000 units are scheduled to
vest on 9/9/2021.
5. 40,000 units granted on 2/10/2017; 8,000 units vested on 2/10/2018; 8,000 units are scheduled to vest on 2/10/2019;
8,000 units are scheduled to vest on 2/10/2020; 8,000 units are scheduled to vest on 2/10/2021; and 8,000 units are scheduled
to vest on 2/10/2022.
6. 28,000 units granted on 9/6/2017; 5,600 units vested on 9/6/2018; 5,600 units are scheduled to vest on 9/6/2019; 5,600
units are scheduled to vest on 9/6/2020; 5,600 units are scheduled to vest on 9/6/2021; and 5,600 units are scheduled to
vest on 9/6/2022.
7. 116,700 units granted on 2/26/2018; 38,900 units are scheduled to vest on 2/26/2019; 38,900 units are scheduled to veston 2/26/2020; and 38,900 units are scheduled to vest on 2/26/2021.
8. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to theright, and another 20% become exercisable each year thereafter.
9. The options become exercisable in one installment on 1/29/2021.
Remarks:
Julia L. Chen on behalf 09/11/2018
of Russell Stokes
** Signature of Reporting Date
Person
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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. 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 Number.
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
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 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Person(*) Murphy Kieran Pius Requiring Statement GENERAL ELECTRIC CO [ GE ]
(Month/Day/Year)
(Last) (First) (Middle) 09/07/2018
41 FARNSWORTH STREET
(Street) BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) 5. If Amendment, Date of Original Filed (Month/Day/Year)
to Issuer
(Check all applicable) Director 10% Owner
X Officer (give Other (specify
title below) below)
Senior Vice President
----------------------------------------------------------- ----------------------------------------------------------------------------
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 3. Ownership 4. Nature of Indirect Beneficial
Beneficially Owned (Instr. Form: Direct Ownership (Instr. 5)
4) (D) or Indirect
(I) (Instr.
5)
-------------------------------------- ----------------------- ---------------------------------------------------
Common Stock 59,024 D
-------------------------------------- ----------------------- ---------------------------------------------------
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 2. Date Exercisable 3. Title and Amount of Securities 4. 5. Ownership 6. Nature of Indirect
4) and Expiration Underlying Derivative Security Conversion Form: Direct Beneficial Ownership
Date (Month/Day/Year) (Instr. 4) or (D) or Indirect (Instr. 5)
Exercise (I) (Instr.
Price of 5)
Derivative
Security
---------------------------------- --------------------------------------------------- ----------- ------------------- -----------------------------
Amount
Date Expiration or Number
Exercisable Date Title of Shares
------------- ------------------- -------------------------------------- ----------- ---------- ------- ---------- -----------------------------
Restricted Stock Units (2) (2) Common Stock 5,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (3) (3) Common Stock 15,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (4) (4) Common Stock 40,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (5) (5) Common Stock 20,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (6) (6) Common Stock 100,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (7) (7) Common Stock 21,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (8) (8) Common Stock 90,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/09/2009 09/09/2018 Common Stock 2,500 28.12 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/07/2013 09/07/2022 Common Stock 100,000 21.59 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/13/2014 09/13/2023 Common Stock 80,000 23.78 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/05/2015 09/05/2024 Common Stock 98,127 26.1 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/05/2015 09/05/2024 Common Stock 1,873 26.1 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/11/2016 09/11/2025 Common Stock 125,000 24.95 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/30/2017 09/30/2026 Common Stock 150,000 29.62 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(9) 09/06/2018 09/06/2027 Common Stock 150,000 24.92 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(10) 01/29/2019 01/29/2028 Common Stock 500,000 16.28 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Explanation of Responses:
1. 1-for-1
2. 25,000 units granted on 7/24/2014; 5,000 units vested on 7/24/2015; 5,000 units vested on 7/24/2016; 5,000 units vested
on 7/24/2017; 5,000 units vested on 7/24/2018; and 5,000 units are scheduled to vest on 7/24/2019.
3. 25,000 units granted on 9/11/2015; 5,000 units vested on 9/11/2016; 5,000 units vested on 9/11/2017; 5,000 units are
scheduled to vest on 9/11/2018; 5,000 units are scheduled to vest on 9/11/2019; and 5,000 units are scheduled to vest on
9/11/2020.
4. 50,000 units granted on 7/28/2016; 10,000 units vested on 7/28/2017; 10,000 units are scheduled to vest on 7/28/2018;
10,000 units are scheduled to vest on 7/28/2019; 10,000 units are scheduled to vest on 7/28/2020; and 10,000 units are
scheduled to vest on 7/28/2021.
5. 25,000 units granted on 2/10/2017; 5,000 units vested on 2/10/2018; 5,000 units are scheduled to vest on 2/10/2019;
5,000 units are scheduled to vest on 2/10/2020; 5,000 units are scheduled to vest on 2/10/2021; and 5,000 units are scheduled
to vest on 2/10/2022.
6. 100,000 units granted on 6/9/2017; 50,000 units are scheduled to vest on 6/9/2020; and 50,000 units are scheduled to
vest on 6/9/2022.
7. 21,000 units granted on 9/6/2017; 4,200 units vested on 9/6/2018; 4,200 units are scheduled to vest on 9/6/2019; 4,200
units are scheduled to vest on 9/6/2020; 4,200 units are scheduled to vest on 9/6/2021; and 4,200 units are scheduled to
vest on 9/6/2022.
8. 90,000 units granted on 2/26/2018; 30,000 units are scheduled to vest on 2/26/2019; 30,000 units are scheduled to veston 2/26/2020; and 30,000 units are scheduled to vest on 2/26/2021.
9. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to theright, and another 20% become exercisable each year thereafter.
10. The options become exercisable in one installment on 1/29/2021.
Remarks:
Julia L. Chen on behalf 09/11/2018
of Kieran Murphy
** Signature of Reporting Date
Person
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
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 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Person(*) Pecresse Jerome Requiring Statement GENERAL ELECTRIC CO [ GE ]
(Month/Day/Year)
(Last) (First) (Middle) 09/07/2018
41 FARNSWORTH STREET
(Street) BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) 5. If Amendment, Date of Original Filed (Month/Day/Year)
to Issuer
(Check all applicable) Director 10% Owner
X Officer (give Other (specify
title below) below)
Senior Vice President
----------------------------------------------------------- ----------------------------------------------------------------------------
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 3. Ownership 4. Nature of Indirect Beneficial
Beneficially Owned (Instr. Form: Direct Ownership (Instr. 5)
4) (D) or Indirect
(I) (Instr.
5)
-------------------------------------- ----------------------- ---------------------------------------------------
Common Stock 31,618 D
-------------------------------------- ----------------------- ---------------------------------------------------
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 2. Date Exercisable 3. Title and Amount of Securities 4. 5. Ownership 6. Nature of Indirect
4) and Expiration Underlying Derivative Security Conversion Form: Direct Beneficial Ownership
Date (Month/Day/Year) (Instr. 4) or (D) or Indirect (Instr. 5)
Exercise (I) (Instr.
Price of 5)
Derivative
Security
---------------------------------- --------------------------------------------------- ----------- ------------------- -----------------------------
Amount
Date Expiration or Number
Exercisable Date Title of Shares
------------- ------------------- -------------------------------------- ----------- ---------- ------- ---------- -----------------------------
Restricted Stock Units (2) (2) Common Stock 30,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (3) (3) Common Stock 14,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (4) (4) Common Stock 40,000 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (5) (5) Common Stock 11,200 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Restricted Stock Units (6) (6) Common Stock 116,700 (1) D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(7) 12/11/2016 12/11/2025 Common Stock 60,000 30.26 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(7) 09/30/2017 09/30/2026 Common Stock 87,500 29.62 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(7) 09/06/2018 09/06/2027 Common Stock 100,000 24.92 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Employee Stock Option (right to buy)(8) 01/29/2019 01/29/2028 Common Stock 500,000 16.28 D
------------- ------------------- -------------------------------------- ----------- ----------- ------------------- -----------------------------
Explanation of Responses:
1. 1-for-1
2. 50,000 units granted on 7/28/2016; 10,000 units vested on 7/28/2017; 10,000 units vested on 7/28/2018; 10,000 units
are scheduled to vest on 7/28/2019; 10,000 units are scheduled to vest on 7/28/2020; and 10,000 units are scheduled to
vest on 7/28/2021.
3. 17,500 units granted on 9/30/2016; 3,500 units vested on 9/30/2017; 3,500 units are scheduled to vest on 9/30/2018;
3,500 units are scheduled to vest on 9/30/2019; 3,500 units are scheduled to vest on 9/30/2020; and 3,500 units are scheduled
to vest on 9/30/2021.
4. 50,000 units granted on 2/10/2017; 10,000 units vested on 2/10/2018; 10,000 units are scheduled to vest on 2/10/2019;
10,000 units are scheduled to vest on 2/10/2020; 10,000 units are scheduled to vest on 2/10/2021; and 10,000 units are
scheduled to vest on 2/10/2022.
5. 14,000 units granted on 9/6/2017; 2,800 units vested on 9/6/2018; 2,800 units are scheduled to vest on 9/6/2019; 2,800
units are scheduled to vest on 9/6/2020; 2,800 units are scheduled to vest on 9/6/2021; and 2,800 units are scheduled to
vest on 9/6/2022.
6. 66,700 units granted on 2/26/2018; 22,233 units are scheduled to vest on 2/26/2019; 22,233 units are scheduled to veston 2/26/2020; and 22,234 units are scheduled to vest on 2/26/2021.
7. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to theright, and another 20% become exercisable each year thereafter.
8. The options become exercisable in one installment on 1/29/2021.
Remarks:
Julia L. Chen on behalf 09/11/2018
of Jerome Pecresse
** Signature of Reporting Date
Person
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
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 Number.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
END
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