Source - RNS
RNS Number : 2605K
General Electric Company
19 September 2016
 

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:

3235-0104

Estimated average burden

hours per response:

0.5

1. Name and Address of Reporting Person*

Joyce David Leon

 

(Last)

(First)

(Middle)

GENERAL ELECTRIC COMPANY

41 FARNSWORTH STREET

 

(Street)

BOSTON

MA

02210

 

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/09/2016

3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ GE ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

 

Director

 

10% Owner

X

Officer (give title below)

 

Other (specify below)

Vice Chairman

5. 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

Table I - Non-Derivative Securities Beneficially Owned

1. Title of Security (Instr. 4)

2. Amount of Securities Beneficially Owned (Instr. 4)

3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)

4. Nature of Indirect Beneficial Ownership (Instr. 5)

Common Stock

283,601

D

 

Common Stock

29,872

I

401(k) plan

Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)

2. Date Exercisable and Expiration Date (Month/Day/Year)

3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)

4. Conversion or Exercise Price of Derivative Security

5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)

6. Nature of Indirect Beneficial Ownership (Instr. 5)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Restricted Stock Units

(2)

(2)

Common Stock

10,000

(1)

D

 

Restricted Stock Units

(3)

(3)

Common Stock

60,000

(1)

D

 

Restricted Stock Units

(4)

(4)

Common Stock

53,000

(1)

D

 

Restricted Stock Units

(5)

(5)

Common Stock

40,000

(1)

D

 

Restricted Stock Units

(6)

(6)

Common Stock

29,600

(1)

D

 

Restricted Stock Units

(7)

(7)

Common Stock

27,000

(1)

D

 

Employee Stock Options (right to buy)(8)

09/07/2006

09/07/2017

Common Stock

55,000

38.75

D

 

Employee Stock Options (right to buy)(8)

09/09/2009

09/09/2018

Common Stock

100,000

28.12

D

 

Employee Stock Options (right to buy)(8)

03/12/2010

03/12/2019

Common Stock

400,000

9.57

D

 

Employee Stock Options (right to buy)(8)

07/23/2010

07/23/2019

Common Stock

500,000

11.95

D

 

Employee Stock Options (right to buy)(8)

06/10/2011

06/10/2020

Common Stock

650,000

15.68

D

 

Employee Stock Options (right to buy)(8)

06/09/2012

06/09/2021

Common Stock

700,000

18.58

D

 

Employee Stock Options (right to buy)(8)

09/07/2013

09/07/2022

Common Stock

700,000

21.59

D

 

Employee Stock Options (right to buy)(8)

09/13/2014

09/13/2023

Common Stock

500,000

23.78

D

 

Employee Stock Options (right to buy)(8)

09/05/2015

09/05/2024

Common Stock

550,000

26.1

D

 

Employee Stock Options (right to buy)(8)

09/11/2016

09/11/2025

Common Stock

184,000

24.95

D

 

Employee Stock Option (right to buy)(8)

09/09/2017

09/09/2026

Common Stock

200,000

30.11

D

 

Explanation of Responses:

1. 1-for-1

2. 50,000 units granted 07/27/2012; 10,000 units vested on 07/27/2013 ; 10,000 units vested on 07/27/2014 ; 10,000 vested on 07/27/2015; 10,000 vested on 07/27/2016 and 10,000 are scheduled to vest on 07/27/2017.

3. 100,000 units granted 07/24/2014; 20,000 units vested on 07/24/2015; 20,000 units vested on 07/24/2016 ; 20,000 are scheduled to vest on 07/24/2017; 20,000 are scheduled to vest on 07/24/2018 and 20,000 are scheduled to vest on 07/24/2019.

4. 53,000 units granted 09/11/2015; 53,000 units are scheduled to vest on 02/01/2018.

5. 50,000 units granted 09/11/2015; 10,000 units vested on 9/11/2016; 10,000 units are scheduled to vest on 09/11/2017; 10,000 units are scheduled to vest on 09/11/2018; 10,000 are scheduled to vest on 09/11/2019; and 10,000 are scheduled to vest on 09/11/2020.

6. 37,000 units granted 9/11/2015; 7,400 units vested on 9/11/2016; 7,400 units are scheduled to vest on 9/11/2017; 7,400 units are scheduled to vest on 9/11/2018; 7,400 units are scheduled to vest on 9/11/2019; and 7,400 units are scheduled to vest on 9/11/2020.

7. 27,000 units granted on 9/9/2016; 5,400 units are scheduled to vest on 9/9/2017; 5,400 units are sceduled to vest on 9/9/2018; 5,400 units are scheduled to vest on 9/9/2019; 5,400 units are scheduled to vest on 9/9/2020; and 5,400 units are scheduled to vest on 9/9/2021.

8. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right, and another 20% each year thereafter.

Remarks:


 

Brian Sandstrom on behalf of David L. Joyce

09/19/2016

 

** 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 5 (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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
DSHEAFNNFSDKEAF

Related Charts

General Electric Co. (GEC)

0.00 (0.00%)
delayed 18:15PM