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Director/PDMR Shareholding

14 Sep 2016 07:00

RNS Number : 7605J
General Electric Company
13 September 2016
 

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*

Bornstein Jeffrey S

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

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)

Derivative Security

(Instr. 5)

Beneficially

Direct (D)

Ownership

Derivative

or Disposed

(Instr. 3 and 4)

Owned

or Indirect

(Instr. 4)

Security

of (D) (Instr.

Following

(I) (Instr. 4)

3, 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

 

 

200,000

 

 

(1)

 

 

09/09/2026

 

 

Common Stock

 

200,000

 

 

$0

 

 

200,000

 

 

D

Restricted Stock Units

 

(2)(4)

 

09/09/2016

 

A

 

27,000

 

(3)

 

(3)

 

Common Stock

 

27,000

 

$0

 

27,000

 

D

 

Explanation of Responses:

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:

 

 

 

 

 

 

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).

 

Brian Sandstrom on behalf  of

Jeffrey S. Bornstein 09/13/2016

** 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/40545/000123120516000166/xslF345X03/edgar.xml[9/13/2016 4:27:34 PM]

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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30th Jun 20167:00 amRNSGENERAL ELECTRIC CO. FILES FORM 8-K
3rd Jun 20163:54 pmRNSGENERAL ELECTRIC CO. FILES FORM 8-K
1st Jun 20161:29 pmRNSGENERAL ELECTRIC CO. FILES FORM SD
25th May 20167:00 amRNSDirector/PDMR Shareholding
9th May 20163:09 pmRNSDirector/PDMR Shareholding
9th May 20163:08 pmRNSDirector/PDMR Shareholding
5th May 20163:23 pmRNSGENERAL ELECTRIC CO. FILES FORM 10-Q
3rd May 20167:00 amRNSGENERAL ELECTRIC CO. FILES FORM 8-K
29th Apr 20167:00 amRNSDirector/PDMR Shareholding
29th Apr 20167:00 amRNSDirector/PDMR Shareholding
22nd Apr 20164:46 pmRNSGENERAL ELECTRIC CO. FILES FORM 8-K
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
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6th Apr 20167:00 amRNSDirector/PDMR Shareholding
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6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
6th Apr 20167:00 amRNSDirector/PDMR Shareholding
15th Mar 20161:20 pmRNSGeneral Electric Company files DEFA14A
15th Mar 20161:06 pmRNSGeneral Electric Company files DEF 14A
29th Feb 20163:15 pmRNSGENERAL ELECTRIC COMPANY FILES FORM 10-K
18th Feb 20161:32 pmRNSDirector/PDMR Shareholding

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