Last checked at 4 Jan 2018 07:00
FORM 4 [ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
| OMB APPROVALOMB Number: 3235-0287Estimated average burdenhours 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 Person *
Comstock Elizabeth J | 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 below) _____ Other (specify below)Vice Chairman | |||||||||||||||||||||||||
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY, 41 FARNSWORTH STREET | 3. Date of Earliest Transaction (MM/DD/YYYY)
12/29/2017 | ||||||||||||||||||||||||||
(Street)
BOSTON, MA 02210 (City) (State) (Zip) | 4. If Amendment, Date Original Filed (MM/DD/YYYY)
| 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. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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 | 12/29/2017 | M |
| 15000 | A | $0 | 195542 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | F |
| 8260 | D | $17.40 | 187282 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | M |
| 16200 | A | $0 | 203482 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | F |
| 8955 | D | $17.40 | 194527 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | M |
| 90000 | A | $0 | 284527 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | F |
| 50068 | D | $17.40 | 234459 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | M |
| 16200 | A | $0 | 250659 | D |
| ||||||||||||||||||
Common Stock | 12/29/2017 | F |
| 9026 | D | $17.40 | 241633 | D |
| ||||||||||||||||||
Common Stock |
| 28199 | I | By 401(k) plan | |||||||||||||||||||||||
Common Stock |
| 1267 | I | By family | |||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||
1. Title of Derivate Security(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security(Instr. 3 and 4) | 8. Price of Derivative Security(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||||||||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||||||||||||
Restricted Stock Units | (1) | 12/29/2017 | M |
|
| 15000 | 12/29/2017 (2) | 12/29/2017 (2) | Common Stock | 15000 | $0 | 0 | D |
| |||||||||||||
Restricted Stock Units | (1) | 12/29/2017 | M |
|
| 16200 | 12/29/2017 (3) | 12/29/2017 (3) | Common Stock | 16200 | $0 | 0 | D |
| |||||||||||||
Restricted Stock Units | (1) | 12/29/2017 | M |
|
| 90000 | 12/29/2017 (4) | 12/29/2017 (4) | Common Stock | 90000 | $0 | 0 | D |
| |||||||||||||
Restricted Stock Units | (1) | 12/29/2017 | M |
|
| 16200 | 12/29/2017 (5) | 12/29/2017 (5) | Common Stock | 16200 | $0 | 0 | D |
| |||||||||||||
Explanation of Responses: | |
(1) | 1 for 1 |
(2) | The RSU award was granted on 7/25/2013 and the lapse was accelerated in connection with the reporting person's retirement. |
(3) | The RSU award was granted on 9/11/2015 and the lapse was accelerated in connection with the reporting person's retirement. |
(4) | The RSU award was granted on 7/28/2016 and the lapse was accelerated in connection with the reporting person's retirement. |
(5) | The RSU award was granted on 9/9/2016 and the lapse was accelerated in connection with the reporting person's retirement. |
Reporting Owners | ||||
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Comstock Elizabeth JGENERAL ELECTRIC COMPANY41 FARNSWORTH STREETBOSTON, MA 02210 | Vice Chairman | |||
Signatures | ||
Brian Sandstrom on behalf of Elizabeth Comstock | 1/3/2018 | |
** 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 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 control number. | |