Director/PDMR Shareholding

RNS Number : 7735R

General Electric Company

13 December 2016

 



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) 09/11/2016

(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

2A. Deemed

3.

4. Securities Acquired (A) or

5. Amount of

6. Ownership

7. Nature of

Date

Execution Date,

Transaction

Disposed Of (D) (Instr. 3, 4 and

Securities

Form: Direct

Indirect

(Month/Day/Year)

if any

Code (Instr.

5)

Beneficially

(D) or Indirect

Beneficial

(Month/Day/Year)

8)

Owned Following

(I) (Instr. 4)

Ownership

Reported

(Instr. 4)

Code

V

Amount

(A) or (D)

Price

Transaction(s)

(Instr. 3 and 4)

Common Stock

09/11/2016

M

19,200

A

$0

135,164

D

Common Stock

09/11/2016

F

9,497

D

$30.46

125,667

D

Common Stock

36,138

I

by grantor retained annuity trust

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

6. Date Exercisable and

7. Title and Amount

8. Price of

9. Number of

10.

11. Nature

Derivative

Conversion

Date

Execution Date,

Transaction

of

Expiration Date

of Securities

Derivative

derivative

Ownership

of Indirect

Security

or Exercise

(Month/Day/Year)

if any

Code (Instr.

Derivative

(Month/Day/Year)

Underlying

Security

Securities

Form:

Beneficial

(Instr. 3)

Price of

(Month/Day/Year)

8)

Securities

Derivative Security

(Instr. 5)

Beneficially

Direct (D)

Ownership

Derivative

Acquired

(Instr. 3 and 4)

Owned

or Indirect

(Instr. 4)

Security

(A) or

Following

(I) (Instr. 4)

Disposed

Reported

of (D) (Instr.

Transaction(s)

3, 4 and 5)

(Instr. 4)

Code

V

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Restricted Stock Units

(1)(2)(3)

09/11/2016

M

19,200

09/11/2016

09/11/2016

Common Stock

19,200

$0

0

D

Explanation of Responses:

1. 1 for 1

2. All transactions reported on this Form 4 were conducted outside a trading venue.

3. This RSU grant became eligible for exercise on September 11, 2016 but was processed on December 12, 2016 due to an administrative oversight.

Remarks:

By Brian Sandstrom on behalf of Susan P. Peters

12/13/2016

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.

 

END

 

 

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