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

OMB APPROVAL

OMB Number:

3235-0104

Expires:

December 31, 2014

Estimated average burden

hours per response:

0.5

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.

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
RDSEASPSESPDEFF
UK 100