Last checked at 29 Nov 2016 07:00
SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)09/09/2016 | 3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year)09/19/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 283,601 | D |
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Common Stock | 29,872 | I | 401(k) plan |
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 | (2) | (2) | Common Stock | 10,000 | (1) | D |
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Restricted Stock Units | (3) | (3) | Common Stock | 60,000 | (1) | D |
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Restricted Stock Units | (4) | (4) | Common Stock | 40,000 | (1) | D |
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Restricted Stock Units | (5) | (5) | Common Stock | 29,600 | (1) | D |
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Restricted Stock Units | (6)(9) | (6) | Common Stock | 150,000 | (1) | D |
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Restricted Stock Units | (7) | (7) | Common Stock | 27,000 | (1) | D |
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Employee Stock Options (right to buy)(8) | 09/07/2006 | 09/07/2017 | Common Stock | 55,000 | 38.75 | D |
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Employee Stock Options (right to buy)(8) | 09/09/2009 | 09/09/2018 | Common Stock | 100,000 | 28.12 | D |
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Employee Stock Options (right to buy)(8) | 03/12/2010 | 03/12/2019 | Common Stock | 400,000 | 9.57 | D |
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Employee Stock Options (right to buy)(8) | 07/23/2010 | 07/23/2019 | Common Stock | 500,000 | 11.95 | D |
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Employee Stock Options (right to buy)(8) | 06/10/2011 | 06/10/2020 | Common Stock | 650,000 | 15.68 | D |
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Employee Stock Options (right to buy)(8) | 06/09/2012 | 06/09/2021 | Common Stock | 700,000 | 18.58 | D |
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Employee Stock Options (right to buy)(8) | 09/07/2013 | 09/07/2022 | Common Stock | 700,000 | 21.59 | D |
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Employee Stock Options (right to buy)(8) | 09/13/2014 | 09/13/2023 | Common Stock | 500,000 | 23.78 | D |
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Employee Stock Options (right to buy)(8) | 09/05/2015 | 09/05/2024 | Common Stock | 550,000 | 26.1 | D |
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Employee Stock Options (right to buy)(8) | 09/11/2016 | 09/11/2025 | Common Stock | 184,000 | 24.95 | D |
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Employee Stock Option (right to buy)(8) | 09/09/2017 | 09/09/2026 | Common Stock | 200,000 | 30.11 | D |
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Explanation of Responses: |
1. 1-for-1 |
2. 50,000 units granted 07/27/2012; 10,000 units vested on 07/27/2013 ; 10,000 units vested on 07/27/2014 ; 10,000 vested on 07/27/2015; 10,000 vested on 07/27/2016 and 10,000 are scheduled to vest on 07/27/2017. |
3. 100,000 units granted 07/24/2014; 20,000 units vested on 07/24/2015; 20,000 units vested on 07/24/2016 ; 20,000 are scheduled to vest on 07/24/2017; 20,000 are scheduled to vest on 07/24/2018 and 20,000 are scheduled to vest on 07/24/2019. |
4. 50,000 units granted 09/11/2015; 10,000 units vested on 9/11/2016; 10,000 units are scheduled to vest on 09/11/2017; 10,000 units are scheduled to vest on 09/11/2018; 10,000 are scheduled to vest on 09/11/2019; and 10,000 are scheduled to vest on 09/11/2020. |
5. 37,000 units granted 9/11/2015; 7,400 units vested on 9/11/2016; 7,400 units are scheduled to vest on 9/11/2017; 7,400 units are scheduled to vest on 9/11/2018; 7,400 units are scheduled to vest on 9/11/2019; and 7,400 units are scheduled to vest on 9/11/2020. |
6. 150,000 units granted 07/28/2016; 150,000 units are scheduled to vest on 12/31/2019. |
7. 27,000 units granted on 9/9/2016; 5,400 units are scheduled to vest on 9/9/2017; 5,400 units are sceduled to vest on 9/9/2018; 5,400 units are scheduled to vest on 9/9/2019; 5,400 units are scheduled to vest on 9/9/2020; and 5,400 units are scheduled to vest on 9/9/2021. |
8. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right, and another 20% each year thereafter. |
9. Grant not previously reported. This amended Form 3 also removes a previously reported 53,000 Restricted Stock Unit grant which was characterized as a Restricted Stock Unit in error. The 53,000 grant is a Performance Share Unit not realized until certain performance measures are met. |
Remarks: |
| Brian Sandstrom on behalf of David L. Joyce | 11/28/2016 |
| ** 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). | ||
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. | ||