Last checked at 14 Dec 2016 07:00
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) 09/11/2016 | |||||||||||||||||||||||||||||
(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 | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature of | ||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and | Securities | Form: Direct | Indirect | |||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | 5) | Beneficially | (D) or Indirect | Beneficial | |||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | |||||||||||||||||||||||||
Reported | (Instr. 4) | ||||||||||||||||||||||||||||
Code |
V |
Amount | (A) or (D) |
Price | |||||||||||||||||||||||||
Transaction(s) | |||||||||||||||||||||||||||||
(Instr. 3 and 4) | |||||||||||||||||||||||||||||
Common Stock | 09/11/2016 | M | 19,200 | A | $0 | 135,164 | D | ||||||||||||||||||||||
Common Stock | 09/11/2016 | F | 9,497 | D | $30.46 | 125,667 | D | ||||||||||||||||||||||
Common Stock |
36,138 |
I | by grantor retained annuity trust | ||||||||||||||||||||||||||
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 | 6. Date Exercisable and | 7. Title and Amount | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | of Securities | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Underlying | Security | Securities | Form: | Beneficial | ||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Derivative Security | (Instr. 5) | Beneficially | Direct (D) | Ownership | ||||||||||||||||||||
Derivative | Acquired | (Instr. 3 and 4) | Owned | or Indirect | (Instr. 4) | ||||||||||||||||||||||||
Security | (A) or | Following | (I) (Instr. 4) | ||||||||||||||||||||||||||
Disposed | Reported | ||||||||||||||||||||||||||||
of (D) (Instr. | Transaction(s) | ||||||||||||||||||||||||||||
3, 4 and 5) | (Instr. 4) | ||||||||||||||||||||||||||||
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares | ||||||||||||||||||||||
Restricted Stock Units |
(1)(2)(3) |
09/11/2016 |
M |
19,200 |
09/11/2016 |
09/11/2016 | Common Stock |
19,200 |
$0 |
0 |
D | ||||||||||||||||||
| |||||||||||||||||||||||||||||
Explanation of Responses:
1. 1 for 1
2. All transactions reported on this Form 4 were conducted outside a trading venue.
3. This RSU grant became eligible for exercise on September 11, 2016 but was processed on December 12, 2016 due to an administrative oversight.
Remarks:
By Brian Sandstrom on behalf of Susan P. Peters
12/13/2016
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.