Director/PDMR Shareholding

RNS Number : 4816A

General Electric Company

11 September 2018

 

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person* Timko Thomas S (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

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 below) Other (specify below) Vice President

3. Date of Earliest Transaction (Month/Day/Year) 09/10/2018

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

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 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 Unit

(1)

09/10/2018

A

270,000

(2)

(2)

Common Stock

270,000

$0

270,000

D

Explanation of Responses:

1. 1 for 1

2. The Restricted Stock Units vest in three equal annual installments of 33.3% each beginning on the first anniversary of the grant date.

Remarks:

Julia L. Chen on behalf of Thomas S. Timko

09/11/2018

** 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.

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person* Stokes Russell (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

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 below) Other (specify below) Senior Vice President

3. Date of Earliest Transaction (Month/Day/Year) 09/09/2018

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

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

09/09/2018

M

4,000

A

$0

185,894

D

Common Stock

09/09/2018

F

1,814

D

$12.35

184,080

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)

09/09/2018

M

4,000

09/09/2018

09/09/2018

Common Stock

4,000

$0

12,000

D

Explanation of Responses:

1. 1 for 1

Remarks:

Brian Sandstrom on behalf of Russell Stokes

09/11/2018

** 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.

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person* DIMITRIEF ALEXANDER (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

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 below) Other (specify below) Senior Vice President

3. Date of Earliest Transaction (Month/Day/Year) 09/09/2018

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

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

09/09/2018

09/09/2018

M

3,200

A

$0

94,478

D

Common Stock

09/09/2018

09/09/2018

F

1,403

D

$12.35

93,075

D

Common Stock

76,794

I

by 401(k)

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)

09/09/2018

M

3,200

09/09/2018

09/09/2018

Common Stock

3,200

$0

9,600

D

Explanation of Responses:

1. 1 for 1

Remarks:

Brian Sandstrom on behalf of Alexander Dimitrief

09/11/2018

** 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.

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person* Flannery John Leonard (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

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 below) Other (specify below) CEO and Director

3. Date of Earliest Transaction (Month/Day/Year) 09/09/2018

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

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

09/09/2018

M

5,400

A

$0

597,563

D

Common Stock

09/09/2018

F

2,401

D

$12.35

595,162

D

Common Stock

113,215

I

401(k) plan

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)

09/09/2018

M

5,400

09/09/2018

09/09/2018

Common Stock

5,400

$0

16,200

D

Explanation of Responses:

1. 1 for 1

Remarks:

Brian Sandstrom on behalf of John L. Flannery

09/11/2018

** 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.

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person* Miller Jamie S (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

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 below) Other (specify below) Senior Vice President

3. Date of Earliest Transaction (Month/Day/Year) 09/09/2018

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

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

09/09/2018

M

4,000

A

$0

268,759

D

Common Stock

09/09/2018

F

1,778

D

$12.35

266,981

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)

09/09/2018

M

4,000

09/09/2018

09/09/2018

Common Stock

4,000

$0

12,000

D

Explanation of Responses:

1. 1 for 1

Remarks:

Brian Sandstrom on behalf of Jamie Miller

09/11/2018

** 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.

SEC Form 4

FORM 4

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

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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. 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 below) Other (specify below) Vice Chairman

3. Date of Earliest Transaction (Month/Day/Year) 09/06/2018

4. If Amendment, Date of Original Filed (Month/Day/Year) 09/10/2018

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 (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

09/06/2018

M

28,000(1)

A

$0

532,779

D

Common Stock

09/06/2018

F

12,335

D

$12.65

520,444

D

Common Stock

35,608

I

401(k) plan

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 Unit

(2)

09/06/2018

M

28,000

09/06/2018

09/06/2018

Common Stock

28,000

$0

0(1)

D

Explanation of Responses:

1. Form 4 amended to show 28,000 units vested on 9/6/2018.

2. 1 for 1

Remarks:

Brian Sandstrom on behalf of David Joyce

09/11/2018

** 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.

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* Timko Thomas S (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) 09/10/2018

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 President

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

0

D

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

Explanation of Responses:

Remarks:

Julia L. Chen on behalf of Thomas S. Timko

09/11/2018

** 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.

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* Stokes Russell (Last) (First) (Middle) 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year) 09/07/2018

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) Senior Vice President

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

181,894

D

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

15,000

(1)

D

Restricted Stock Units

(3)

(3)

Common Stock

14,400

(1)

D

Restricted Stock Units

(4)

(4)

Common Stock

16,000

(1)

D

Restricted Stock Units

(5)

(5)

Common Stock

32,000

(1)

D

Restricted Stock Units

(6)

(6)

Common Stock

22,400

(1)

D

Restricted Stock Units

(7)

(7)

Common Stock

116,700

(1)

D

Employee Stock Option (right to buy)(8)

09/09/2009

09/09/2018

Common Stock

12,500

28.12

D

Employee Stock Option (right to buy)(8)

03/12/2010

03/12/2019

Common Stock

50,000

9.57

D

Employee Stock Option (right to buy)(8)

07/23/2010

07/23/2019

Common Stock

50,000

11.95

D

Employee Stock Option (right to buy)(8)

06/10/2011

06/10/2020

Common Stock

75,000

15.68

D

Employee Stock Option (right to buy)(8)

06/09/2012

06/09/2021

Common Stock

100,000

18.58

D

Employee Stock Option (right to buy)(8)

09/07/2013

09/07/2022

Common Stock

110,000

21.59

D

Employee Stock Option (right to buy)(8)

09/13/2014

09/13/2023

Common Stock

125,000

23.78

D

Employee Stock Option (right to buy)(8)

09/05/2015

09/05/2024

Common Stock

250,000

26.1

D

Employee Stock Option (right to buy)(8)

09/11/2016

09/11/2025

Common Stock

117,000

24.95

D

Employee Stock Option (right to buy)(8)

09/09/2017

09/09/2026

Common Stock

150,000

30.11

D

Employee Stock Option (right to buy)(8)

09/06/2018

09/06/2027

Common Stock

200,000

24.92

D

Employee Stock Option (right to buy)(9)

01/29/2019

01/29/2028

Common Stock

500,000

16.28

D

Explanation of Responses:

1. 1-for-1

2. 75,000 units granted on 7/24/2014; 15,000 units vested on 7/24/2015; 15,000 units vested on 7/24/2016; 15,000 units vested on 7/24/2017; 15,000 units vested on 7/24/2018; and 15,000 units are scheduled to vest on 7/24/2019.

3. 24,000 units granted on 9/11/2015; 4,800 units vested on 9/11/2016; 4,800 units vested on 9/11/2017; 4,800 units are scheduled to vest on 9/11/2018; 4,800 units are scheduled to vest on 9/11/2019; and 4,800 units are scheduled to vest on 9/11/2020.

4. 20,000 units granted on 9/9/2016; 4,000 units vested on 9/9/2017; 4,000 units are scheduled to vest on 9/9/2018; 4,000 units are scheduled to vest on 9/9/2019; 4,000 units are scheduled to vest on 9/9/2020; and 4,000 units are scheduled to vest on 9/9/2021.

5. 40,000 units granted on 2/10/2017; 8,000 units vested on 2/10/2018; 8,000 units are scheduled to vest on 2/10/2019; 8,000 units are scheduled to vest on 2/10/2020; 8,000 units are scheduled to vest on 2/10/2021; and 8,000 units are scheduled to vest on 2/10/2022.

6. 28,000 units granted on 9/6/2017; 5,600 units vested on 9/6/2018; 5,600 units are scheduled to vest on 9/6/2019; 5,600 units are scheduled to vest on 9/6/2020; 5,600 units are scheduled to vest on 9/6/2021; and 5,600 units are scheduled to vest on 9/6/2022.

7. 116,700 units granted on 2/26/2018; 38,900 units are scheduled to vest on 2/26/2019; 38,900 units are scheduled to vest on 2/26/2020; and 38,900 units are scheduled to vest on 2/26/2021.

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

9. The options become exercisable in one installment on 1/29/2021.

Remarks:

Julia L. Chen on behalf of Russell Stokes

09/11/2018

** 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.

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* Murphy Kieran Pius (Last) (First) (Middle) 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year) 09/07/2018

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) Senior Vice President

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

59,024

D

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

5,000

(1)

D

Restricted Stock Units

(3)

(3)

Common Stock

15,000

(1)

D

Restricted Stock Units

(4)

(4)

Common Stock

40,000

(1)

D

Restricted Stock Units

(5)

(5)

Common Stock

20,000

(1)

D

Restricted Stock Units

(6)

(6)

Common Stock

100,000

(1)

D

Restricted Stock Units

(7)

(7)

Common Stock

21,000

(1)

D

Restricted Stock Units

(8)

(8)

Common Stock

90,000

(1)

D

Employee Stock Option (right to buy)(9)

09/09/2009

09/09/2018

Common Stock

2,500

28.12

D

Employee Stock Option (right to buy)(9)

09/07/2013

09/07/2022

Common Stock

100,000

21.59

D

Employee Stock Option (right to buy)(9)

09/13/2014

09/13/2023

Common Stock

80,000

23.78

D

Employee Stock Option (right to buy)(9)

09/05/2015

09/05/2024

Common Stock

98,127

26.1

D

Employee Stock Option (right to buy)(9)

09/05/2015

09/05/2024

Common Stock

1,873

26.1

D

Employee Stock Option (right to buy)(9)

09/11/2016

09/11/2025

Common Stock

125,000

24.95

D

Employee Stock Option (right to buy)(9)

09/30/2017

09/30/2026

Common Stock

150,000

29.62

D

Employee Stock Option (right to buy)(9)

09/06/2018

09/06/2027

Common Stock

150,000

24.92

D

Employee Stock Option (right to buy)(10)

01/29/2019

01/29/2028

Common Stock

500,000

16.28

D

Explanation of Responses:

1. 1-for-1

2. 25,000 units granted on 7/24/2014; 5,000 units vested on 7/24/2015; 5,000 units vested on 7/24/2016; 5,000 units vested on 7/24/2017; 5,000 units vested on 7/24/2018; and 5,000 units are scheduled to vest on 7/24/2019.

3. 25,000 units granted on 9/11/2015; 5,000 units vested on 9/11/2016; 5,000 units vested on 9/11/2017; 5,000 units are scheduled to vest on 9/11/2018; 5,000 units are scheduled to vest on 9/11/2019; and 5,000 units are scheduled to vest on 9/11/2020.

4. 50,000 units granted on 7/28/2016; 10,000 units vested on 7/28/2017; 10,000 units are scheduled to vest on 7/28/2018; 10,000 units are scheduled to vest on 7/28/2019; 10,000 units are scheduled to vest on 7/28/2020; and 10,000 units are scheduled to vest on 7/28/2021.

5. 25,000 units granted on 2/10/2017; 5,000 units vested on 2/10/2018; 5,000 units are scheduled to vest on 2/10/2019; 5,000 units are scheduled to vest on 2/10/2020; 5,000 units are scheduled to vest on 2/10/2021; and 5,000 units are scheduled to vest on 2/10/2022.

6. 100,000 units granted on 6/9/2017; 50,000 units are scheduled to vest on 6/9/2020; and 50,000 units are scheduled to vest on 6/9/2022.

7. 21,000 units granted on 9/6/2017; 4,200 units vested on 9/6/2018; 4,200 units are scheduled to vest on 9/6/2019; 4,200 units are scheduled to vest on 9/6/2020; 4,200 units are scheduled to vest on 9/6/2021; and 4,200 units are scheduled to vest on 9/6/2022.

8. 90,000 units granted on 2/26/2018; 30,000 units are scheduled to vest on 2/26/2019; 30,000 units are scheduled to vest on 2/26/2020; and 30,000 units are scheduled to vest on 2/26/2021.

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

10. The options become exercisable in one installment on 1/29/2021.

Remarks:

Julia L. Chen on behalf of Kieran Murphy

09/11/2018

** 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.

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* Pecresse Jerome (Last) (First) (Middle) 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year) 09/07/2018

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) Senior Vice President

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

31,618

D

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

30,000

(1)

D

Restricted Stock Units

(3)

(3)

Common Stock

14,000

(1)

D

Restricted Stock Units

(4)

(4)

Common Stock

40,000

(1)

D

Restricted Stock Units

(5)

(5)

Common Stock

11,200

(1)

D

Restricted Stock Units

(6)

(6)

Common Stock

116,700

(1)

D

Employee Stock Option (right to buy)(7)

12/11/2016

12/11/2025

Common Stock

60,000

30.26

D

Employee Stock Option (right to buy)(7)

09/30/2017

09/30/2026

Common Stock

87,500

29.62

D

Employee Stock Option (right to buy)(7)

09/06/2018

09/06/2027

Common Stock

100,000

24.92

D

Employee Stock Option (right to buy)(8)

01/29/2019

01/29/2028

Common Stock

500,000

16.28

D

Explanation of Responses:

1. 1-for-1

2. 50,000 units granted on 7/28/2016; 10,000 units vested on 7/28/2017; 10,000 units vested on 7/28/2018; 10,000 units are scheduled to vest on 7/28/2019; 10,000 units are scheduled to vest on 7/28/2020; and 10,000 units are scheduled to vest on 7/28/2021.

3. 17,500 units granted on 9/30/2016; 3,500 units vested on 9/30/2017; 3,500 units are scheduled to vest on 9/30/2018; 3,500 units are scheduled to vest on 9/30/2019; 3,500 units are scheduled to vest on 9/30/2020; and 3,500 units are scheduled to vest on 9/30/2021.

4. 50,000 units granted on 2/10/2017; 10,000 units vested on 2/10/2018; 10,000 units are scheduled to vest on 2/10/2019; 10,000 units are scheduled to vest on 2/10/2020; 10,000 units are scheduled to vest on 2/10/2021; and 10,000 units are scheduled to vest on 2/10/2022.

5. 14,000 units granted on 9/6/2017; 2,800 units vested on 9/6/2018; 2,800 units are scheduled to vest on 9/6/2019; 2,800 units are scheduled to vest on 9/6/2020; 2,800 units are scheduled to vest on 9/6/2021; and 2,800 units are scheduled to vest on 9/6/2022.

6. 66,700 units granted on 2/26/2018; 22,233 units are scheduled to vest on 2/26/2019; 22,233 units are scheduled to vest on 2/26/2020; and 22,234 units are scheduled to vest on 2/26/2021.

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

8. The options become exercisable in one installment on 1/29/2021.

Remarks:

Julia L. Chen on behalf of Jerome Pecresse

09/11/2018

** 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.

 

END

 

 

DSHEAFNFFAXPEAF