Director/PDMR Shareholding

RNS Number : 9958K

General Electric Company

05 August 2013

 



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

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1. Name and Address of Reporting Person* Peters Susan (Last) (First) (Middle) GENERAL ELECTRIC COMPANY 3135 EASTON TURNPIKE (Street) FAIRFIELD CT 06828 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 08/02/2013	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	7,035	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
Phantom Stock Units	(1)	(1)	Common Stock	7,016	(2)	D
Restricted Stock Units	(3)	(3)	Common Stock	8,750	(2)	D
Restricted Stock Units	(4)	(4)	Common Stock	6,250	(2)	D
Restricted Stock Units	(5)	(5)	Common Stock	6,250	(2)	D
Restricted Stock Units	(6)	(6)	Common Stock	12,500	(2)	D
Restricted Stock Units	(7)	(7)	Common Stock	75,000	(2)	D
Employee Stock Options (right to buy) (8)	09/12/2004	09/12/2013	Common Stock	33,000	31.53	D
Employee Stock Options (right to buy) (8)	09/17/2005	09/17/2014	Common Stock	36,000	34.22	D
Employee Stock Options (right to buy) (8)	09/16/2006	09/16/2015	Common Stock	39,000	34.47	D
Employee Stock Options (right to buy) (8)	09/08/2007	09/08/2016	Common Stock	37,500	34.01	D
Employee Stock Options (right to buy) (8)	09/07/2008	09/07/2017	Common Stock	47,500	38.75	D
Employee Stock Options (right to buy) (8)	09/09/2009	09/09/2018	Common Stock	55,000	28.12	D
Employee Stock Options (right to buy) (8)	03/12/2010	03/12/2019	Common Stock	44,000	9.57	D
Employee Stock Options (right to buy) (8)	07/23/2010	07/23/2019	Common Stock	120,000	11.95	D
Employee Stock Options (right to buy) (8)	06/10/2011	06/10/2020	Common Stock	275,000	15.68	D
Employee Stock Options (right to buy) (8)	06/09/2012	06/09/2021	Common Stock	300,000	18.58	D
Employee Stock Options (right to buy) (8)	09/07/2013	09/07/2022	Common Stock	325,000	21.59	D

Explanation of Responses:

1. Reallocable to other investment media. Payable after termination of employment.

2. 1-for-1

3. 35,000 units granted 09/12/2003; 8,750 units vested on 9/12/2006; 8,750 units vested on 9/12/2008; 8,750 vested on 9/12/2010; 8,750 are scheduled to vest on 9/12/2013.

4. 25,000 units granted 07/28/2005; 6,250 units vested on 7/28/2008; 6,250 units vested on 7/28/2010; 6,250 vested on 7/28//2012; 6,250 are scheduled to vest on 7/27/2015

5. 25,000 units granted 07/27/2006; 6,250 units vested on 7/27/2009; 6,250 units vested on 7/27/2011; 6,250 vested on 7/27/2013; 6,250 are scheduled to vest on 7/27/2016

6. 25,000 units granted 02/09/2007; 6,250 units vested on 2/09/2010; 6,250 units vested on 2/09/2012; 6,250 units are scheduled to vest on 2/09/2014 and 6,250 units are scheduled to vest on 2/09/2017.

7. 75,000 units granted on 7/25/2013; 75,000 units are scheduled to vest on 7/25/2014.

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:

	Eliza W. Fraser on behalf of Susan P. Peters	08/02/2013
	** 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.

 

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