Last checked at 3 Apr 2018 07:00
1. Name and Address of Reporting Person* Sebastien Bazin General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
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).
Page 1 of 2
4/2/2018 12:27:38 PM
Sebastien Bazin
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,423 | (3) | (3) | Common Stock | 5,423 | $14.06 | 25,153 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Sebastien Bazin
**Signature of Reporting Person
4/2/2018
Date
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Page 2 of 2
4/2/2018 12:27:38 PM
1. Name and Address of Reporting Person* Geoffrey Beattie General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Geoffrey Beattie
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,512 | (3) | (3) | Common Stock | 5,512 | $14.06 | 137,980 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Geoffrey Beattie
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* John Brennan General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
John Brennan
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 6,401 | (3) | (3) | Common Stock | 6,401 | $14.06 | 83,730 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of John Brennan
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Marijn Dekkers General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Marijn Dekkers
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,512 | (3) | (3) | Common Stock | 5,512 | $14.06 | 52,242 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Marijn Dekkers
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Francisco D'Souza General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Francisco D'Souza General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,068 | (3) | (3) | Common Stock | 5,068 | $14.06 | 59,747 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Francisco D'Souza
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Peter Henry General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Peter Henry
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,512 | (3) | (3) | Common Stock | 5,512 | $14.06 | 23,200 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Peter Henry
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Susan Hockfield General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Susan Hockfield
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 3,147 | (3) | (3) | Common Stock | 3,147 | $14.06 | 96,261 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Susan Hockfield
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Andrea Jung General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Andrea Jung
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 3,307 | (3) | (3) | Common Stock | 3,307 | $14.06 | 157,737 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Andrea Jung
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Risa Lavizzo-Mourey General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Risa Lavizzo-Mourey General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 4,054 | (3) | (3) | Common Stock | 4,054 | $14.06 | 10,677 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Risa Lavizzo- Mourey
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Rochelle Lazarus General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Rochelle Lazarus
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,512 | (3) | (3) | Common Stock | 5,512 | $14.06 | 231,090 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Rochelle Lazarus
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Steven Mollenkopf General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Steven Mollenkopf General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,068 | (3) | (3) | Common Stock | 5,068 | $14.06 | 18,147 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Steven Mollenkopf
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* James Mulva General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
James Mulva
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 6,046 | (3) | (3) | Common Stock | 6,046 | $14.06 | 158,975 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of James Mulva
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* James Rohr General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
James Rohr
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 3,894 | (3) | (3) | Common Stock | 3,894 | $14.06 | 36,272 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of James Rohr
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* Mary Schapiro General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
Mary Schapiro
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,071 | (3) | (3) | Common Stock | 5,071 | $14.06 | 47,459 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of Mary Schapiro
**Signature of Reporting Person
4/2/2018
Date
1. Name and Address of Reporting Person* James Tisch General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE] | 5. Relationship of Reporting Person(s) to Issuer (check all applicable) _X_ Director 10% Owner Officer (give title below) Other (specify below) | ||||||||||
3. Date of Earliest Transaction Required to be Reported (Month/Day/Year) 04/02/2018 | ||||||||||||
4. If amendment, Date 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 Date (mm/dd/yy) | 2A. Deemed Execution Date, if any (mm/dd/yy) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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 | ||||||||
James Tisch
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 04/02/2018
Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivative Security (Instr. 3) | 2. Con- version or Exercise Price of Derivative Security | 3. Trans- action Date (mm/dd/yy) | 3A. Deemed Execution Date, if any (mm/dd/yy) | 4. Trans- action Code (Instr. 8) | 5. No. of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5) | 6. Date Exercisable and Expiration Date (mm/dd/yy) | 7. Title and Amount of Underlying Securities (Instr. 3 & 4) | 8. Price of Derivative Security (Instr. 5) | 9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, & 4) | 10. Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code |
V |
(A) |
(D) | Date Exer- cisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 04/02/2018 | A | 5,601 | (3) | (3) | Common Stock | 5,601 | $14.06 | 97,015 | D | ||||
Explanation of Responses:
(1) - Acquired at a price of $14.06 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(2) - Each unit of phantom stock is the economic equivalent of one share of common stock.
(3) - Payable beginning one year after termination of service as a director.
By: Brian Sandstrom on behalf of James Tisch
**Signature of Reporting Person
4/2/2018
Date