Source - RNS
RNS Number : 7608J
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*

Peters Susan


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

Common Stock

09/11/2016


M


4,800

A

$0

118,347

D



Common Stock

09/11/2016


F


2,383

D

$30.46

115,964

D



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) or

Derivative Security

(Instr. 5)

Beneficially

Direct (D)

Ownership

Derivative

Disposed of

(Instr. 3 and 4)

Owned

or Indirect

(Instr. 4)

Security

(D) (Instr. 3, 4

Following

(I) (Instr. 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


 

 

117,000


 

 

(1)

 

 

09/09/2026

 

 

Common Stock

 

117,000

 

 

$0

 

 

117,000

 

 

D


Restricted Stock Units

 

(2)(4)

 

09/09/2016


 

A


 

16,000


 

(3)

 

(3)

 

Common Stock

 

16,000

 

$0

 

16,000

 

D


Restricted Stock Units

 

(2)(4)

 

09/11/2016


 

M



 

4,800

 

09/11/2016

 

09/11/2016

 

Common Stock

 

4,800

 

$0

 

19,200

 

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:


 

Brian Sandstrom on behalf of Susan P. Peters


 

09/13/2016


 

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).


** 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/40545/000123120516000169/xslF345X03/edgar.xml[9/13/2016 4:25:54 PM]


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