29 Apr 2020 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* Holston Michael 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 X Officer (give title below) Senior Vice President |
10% Owner Other (specify below) | ||||||||||||||||||||||
(Last) (First) |
(Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 04/24/2020 | |||||||||||||||||||||||
GENERAL ELECTRIC COMPANY | |||||||||||||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person | |||||||||||||||||||||||||
5 NECCO ST | 4. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||||||||||||
(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 | |||||||||||||||||||||
Common Stock | 04/24/2020 | M | 35,338 | A | $0 | 103,128 | D | ||||||||||||||||||
Common Stock | 04/24/2020 | F | 15,708 | D | $6.42 | 87,420 | D | ||||||||||||||||||
Common Stock | 04/24/2020 | M | 86,698 | A | $0 | 174,118 | D | ||||||||||||||||||
Common Stock | 04/24/2020 | F | 38,538 | D | $6.42 | 135,580 | D | ||||||||||||||||||
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 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: 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) | 04/24/2020 | M | 35,338 | 04/24/2020 | 04/24/2020 | Common Stock | 35,338 | $0 | 35,338 | D | ||||||||||||||
Restricted Stock Units | (1) | 04/24/2020 | M | 86,698 | 04/24/2020 | 04/24/2020 | Common Stock | 86,698 | $0 | 86,699 | D | ||||||||||||||
Explanation of Responses:
1. 1 for 1
Remarks:
Brian Sandstrom on behalf of Michael Holston 04/28/2020
** 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 Number.
Gen.electric (GEC)