Last checked at 14 Sep 2016 07:00
SEC FORM 4
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 Person* Peters Susan | 2. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title Other (specify below) below) Senior Vice President | ||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 09/09/2016 | ||||||||||||||||||||||||||||
(Last) (First) |
(Middle) | |||||||||||||||||||||||||||
GENERAL ELECTRIC COMPANY | ||||||||||||||||||||||||||||
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 | |||||||||||||||||||||||||||
41 FARNSWORTH STREET | ||||||||||||||||||||||||||||
(Street) | ||||||||||||||||||||||||||||
BOSTON MA | 02210 | |||||||||||||||||||||||||||
(City) (State) |
(Zip) | |||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||||||||||||||||||||
Code |
V |
Amount | (A) or (D) |
Price | ||||||||||||||||||||||||
Common Stock | 09/11/2016 | M | 4,800 | A | $0 | 118,347 | D | |||||||||||||||||||||
Common Stock | 09/11/2016 | F | 2,383 | D | $30.46 | 115,964 | 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 and | 7. Title and Amount | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | Derivative | Expiration Date | of Securities | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Securities | (Month/Day/Year) | Underlying | Security | Securities | Form: | Beneficial | |||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Acquired (A) or | Derivative Security | (Instr. 5) | Beneficially | Direct (D) | Ownership | |||||||||||||||||||
Derivative | Disposed of | (Instr. 3 and 4) | Owned | or Indirect | (Instr. 4) | |||||||||||||||||||||||
Security | (D) (Instr. 3, 4 | Following | (I) (Instr. 4) | |||||||||||||||||||||||||
and 5) | Reported | |||||||||||||||||||||||||||
Transaction(s) | ||||||||||||||||||||||||||||
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares | |||||||||||||||||||||
(Instr. 4) | ||||||||||||||||||||||||||||
Employee Stock Option (right to buy) |
$30.11(4) |
09/09/2016 |
A |
117,000 |
(1) |
09/09/2026 |
Common Stock |
117,000 |
$0 |
117,000 |
D | |||||||||||||||||
Restricted Stock Units |
(2)(4) |
09/09/2016 |
A |
16,000 |
(3) |
(3) |
Common Stock |
16,000 |
$0 |
16,000 |
D | |||||||||||||||||
Restricted Stock Units |
(2)(4) |
09/11/2016 |
M |
4,800 |
09/11/2016 |
09/11/2016 |
Common Stock |
4,800 |
$0 |
19,200 |
D | |||||||||||||||||
| ||||||||||||||||||||||||||||
1. The Stock Options become exercisable in five equal annual installments of 20% each, beginning on the first anniversary of the grant date.
2. 1 for 1
3. The Restricted Stock Units vest in five equal annual installments of 20% each, beginning on the first anniversary of the grant date.
4. All transactions reported on this Form 4 were conducted outside a trading venue.
Remarks:
Brian Sandstrom on behalf of Susan P. Peters
09/13/2016
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).
** Signature of Reporting Person Date
** 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.
https://www.sec.gov/Archives/edgar/data/40545/000123120516000169/xslF345X03/edgar.xml[9/13/2016 4:25:54 PM]