Director/PDMR Shareholding

RNS Number : 0899N

General Electric Company

03 August 2017

 

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* Flannery John Leonard (Last) (First) (Middle) 41 FARNSWORTH STREET (Street) BOSTON MA 02210 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 08/01/2017	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) CEO and Director	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	509,430	D
Common Stock	2,017	I	by 401(k)

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	40,000	(1)	D
Restricted Stock Units	(4)	(4)	Common Stock	24,000	(1)	D
Restricted Stock Units	(5)	(5)	Common Stock	27,000	(1)	D
Employee Stock Option (right to buy)(6)	09/07/2008	09/07/2017	Common Stock	37,500	38.75	D
Employee Stock Option (right to buy)(6)	07/23/2010	07/23/2019	Common Stock	100,000	11.95	D
Employee Stock Option (right to buy)(6)	06/10/2011	06/10/2020	Common Stock	350,000	15.68	D
Employee Stock Option (right to buy)(6)	06/09/2012	06/09/2021	Common Stock	450,000	18.58	D
Employee Stock Option (right to buy)(6)	09/07/2013	09/07/2022	Common Stock	500,000	21.59	D
Employee Stock Option (right to buy)(6)	09/13/2014	09/13/2023	Common Stock	400,000	23.78	D
Employee Stock Option (right to buy)(6)	09/05/2015	09/05/2024	Common Stock	450,000	26.1	D
Employee Stock Option (right to buy)(6)	09/11/2016	09/11/2025	Common Stock	150,000	24.95	D
Employee Stock Option (right to buy)(6)	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 on 7/25/2013; 10,000 units vested on 7/25/2014; 10,000 units vested on 7/25/2015; 10,000 units vested on 7/25/2016; 10,000 units vested on 7/25/2017; and 10,000 units are scheduled to vest on 7/25/2018.

3. 100,000 units granted on 7/24/2014; 20,000 units vested on 7/24/2015; 20,000 units vested on 7/24/2016; 20,000 units vested on 7/24/2017; 20,000 units are scheduled to vest on 7/24/2018; and 20,000 units are scheduled to vest on 7/24/2019.

4. 30,000 units granted on 9/11/2015; 6,000 units vested on 9/11/2016; 6,000 units are scheduled to vest on 9/11/2017; 6,000 units are scheduled to vest on 9/11/2018; 6,000 units are scheduled to vest on 9/11/2019; and 6,000 units are scheduled to vest on 9/11/2020.

5. 27,000 units granted on 9/9/2016; 5,400 units are scheduled to vest on 9/9/2017; 5,400 units are scheduled 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.

6. 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.

Remarks:

	Brian Sandstrom on behalf of John L. Flannery	08/03/2017
	** 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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