Last checked at 7 Jan 2019 07:00
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
1. Name and Address of Reporting Person* Sebastien M. Bazin General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Name and Address of Reporting PersonSebastien M. BazinGeneral Electric Company41 Farnsworth Street
Boston MA 02210
Issuer Name and Ticker or Trading SymbolGeneral Electric Co. [GE]
Period Of Report01/02/2019
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) | 01/02/2019 |
| A |
| 10,862 |
| (3) | (3) | Common Stock | 10,862 | $7.25 | 48,962 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 M. Bazin
**Signature of Reporting Person
1/4/2019
Date
1. Name and Address of Reporting Person* William G. Beattie General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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William G. BeattieGeneral Electric Company41 Farnsworth Street
Boston MA 02210
General Electric Co. [GE]
Period Of Report01/02/2019
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) | 01/02/2019 |
| A |
| 11,552 |
| (3) | (3) | Common Stock | 11,552 | $7.25 | 166,430 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 William G. Beattie
**Signature of Reporting Person
1/4/2019
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 Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Francisco D'SouzaGeneral Electric Company41 Farnsworth Street
Boston MA 02210
General Electric Co. [GE]
Period Of Report01/02/2019
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) | 01/02/2019 |
| A |
| 10,690 |
| (3) | (3) | Common Stock | 10,690 | $7.25 | 84,257 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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
1/4/2019
Date
FORM 4
Check this box if no
longer subject to
Section 16. Form 4 or
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB APPROVAL
OMB Number: 3235-0287
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Form 5 obligations may
continue. SeeSTATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Instruction 1(b).
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 Garden Edward P | 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) | ||
(Last) (First) 280 Park Avenue, 41st Floor | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 01/02/2019 | ||
(Street) New York |
NY |
10017 | 4. If Amendment, Date Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person |
(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, par value $0.06 per share |
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70,851,055 |
I | Please see explanation below (1) (2) |
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. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 7. Title and Amount of Underlying Securities (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 | ||||||||
Deferred Fee Phantom Stock Units (3) |
(4) |
01/02/2019 |
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A |
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6,828 |
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(5) |
(5) |
Common Stock |
6,828 |
$7.25 |
21,089 |
D |
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Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Garden Edward P 280 Park Avenue, 41st Floor New York, NY 10017 |
X |
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Trian Fund Management, L.P. 280 Park Avenue, 41st Floor New York, NY 10017 |
X |
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Explanation of Responses:
(1) Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Master Fund (ERISA), L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P.,
Page 2 of 3.
Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) X, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.
(2) (FN 1, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.
(3) Acquired at a price of $7.25 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.
(4) Each unit of phantom stock is the economic equivalent of one share of common stock.
(5) Payable beginning one year after termination of service as a director.
Stacey Sayetta, Attorney-In-Fact for Edward P. Garden
Stacey Sayetta, Attorney-In-Fact for Trian Fund Management, L.P.
**Signature of Reporting Person Date
* 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.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
1. Name and Address of Reporting Person* Thomas W. Horton 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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Thomas W. HortonGeneral Electric Company41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 8,069 |
| (3) | (3) | Common Stock | 8,069 | $7.25 | 15,558 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 Thomas W. Horton
**Signature of Reporting Person
1/4/2019
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 Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Risa Lavizzo-Mourey General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Co. [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 9,103 |
| (3) | (3) | Common Stock | 9,103 | $7.25 | 29,719 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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
1/4/2019
Date
1. Name and Address of Reporting Person* James J. Mulva General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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James J. Mulva
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Co. [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 11,724 |
| (3) | (3) | Common Stock | 11,724 | $7.25 | 188,379 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 J. Mulva
**Signature of Reporting Person
1/4/2019
Date
1. Name and Address of Reporting Person* Paula Rosput Reynolds 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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Paula Rosput Reynolds General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 2,845 |
| (3) | (3) | Common Stock | 2,845 | $7.25 | 2,845 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 Paula Rosput Reynolds
**Signature of Reporting Person
1/4/2019
Date
1. Name and Address of Reporting Person* Leslie F. Seidman 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) 01/02/2019 | ||||||||||||
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 | ||||||||
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Leslie F. Seidman General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Company [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 12,414 |
| (3) | (3) | Common Stock | 12,414 | $7.25 | 25,675 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 Leslie F. Seidman
**Signature of Reporting Person
1/4/2019
Date
1. Name and Address of Reporting Person* James S. Tisch General Electric Company 41 Farnsworth Street Boston MA 02210 | 2. Issuer Name and Ticker or Trading Symbol General Electric Co. [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) 01/02/2019 | ||||||||||||
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 | ||||||||
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James S. Tisch
General Electric Company 41 Farnsworth Street
Boston MA 02210
General Electric Co. [GE]
Period Of Report 01/02/2019
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) | 01/02/2019 |
| A |
| 10,862 |
| (3) | (3) | Common Stock | 10,862 | $7.25 | 122,843 | D |
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Explanation of Responses:
(1) - Acquired at a price of $7.25 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 S. Tisch
**Signature of Reporting Person
1/4/2019
Date