FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL |
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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 *
Holston Michael J |
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 |
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(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY, 41 FARNSWORTH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
4/24/2018 |
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(Street)
BOSTON, MA 02210 (City) (State) (Zip) |
4. If Amendment, Date Original Filed (MM/DD/YYYY)
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6. Individual or Joint/Group Filing (Check Applicable Line)
_ X _ Form filed by One Reporting Person |
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1.Title of Security |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code |
4. Securities Acquired (A) or Disposed of (D) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code |
V |
Amount |
(A) or (D) |
Price |
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1. Title of Derivate Security |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security |
8. Price of Derivative Security |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
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Employee Stock Option (right to buy) |
$14.68 |
4/24/2018 |
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A |
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800000 |
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4/24/2028 |
Common Stock |
800000 |
$0 |
800000 |
D |
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Restricted Stock Unit |
4/24/2018 |
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A |
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351900 |
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Common Stock |
351900 |
$0 |
351900 |
D |
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Explanation of Responses: |
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(1) |
The Stock Options become exercisable in three equal annual installments of 33.3% each beginning on the first anniversary of the grant date. |
(2) |
1 for 1 |
(3) |
The Restricted Stock Units vest in three equal annual installments of 33.3% each beginning on the first anniversary of the grant date. |
Reporting Owners |
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Reporting Owner Name / Address |
Relationships |
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Director |
10% Owner |
Officer |
Other |
Holston Michael J |
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Senior Vice President |
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Signatures |
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By: Brandon Smith on behalf of Michael Holston |
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4/26/2018 |
** Signature of Reporting Person |
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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* |
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 control number. |