Initial Statement of Beneficial Ownership (3)
September 19 2016 - 05:14PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
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
*
Joyce David Leon
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/9/2016
|
3. Issuer Name
and
Ticker or Trading Symbol
GENERAL ELECTRIC CO [GE]
|
(Last)
(First)
(Middle)
GENERAL ELECTRIC COMPANY, 41 FARNSWORTH STREET
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Vice Chairman /
|
(Street)
BOSTON, MA 02210
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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
|
283601
|
D
|
|
Common Stock
|
29872
|
I
|
401(k) plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: 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
|
10000
|
(1)
|
D
|
|
Restricted Stock Units
|
(3)
|
(3)
|
Common Stock
|
60000
|
(1)
|
D
|
|
Restricted Stock Units
|
(4)
|
(4)
|
Common Stock
|
53000
|
(1)
|
D
|
|
Restricted Stock Units
|
(5)
|
(5)
|
Common Stock
|
40000
|
(1)
|
D
|
|
Restricted Stock Units
|
(6)
|
(6)
|
Common Stock
|
29600
|
(1)
|
D
|
|
Restricted Stock Units
|
(7)
|
(7)
|
Common Stock
|
27000
|
(1)
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/7/2006
|
9/7/2017
|
Common Stock
|
55000
|
$38.75
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/9/2009
|
9/9/2018
|
Common Stock
|
100000
|
$28.12
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
3/12/2010
|
3/12/2019
|
Common Stock
|
400000
|
$9.57
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
7/23/2010
|
7/23/2019
|
Common Stock
|
500000
|
$11.95
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
6/10/2011
|
6/10/2020
|
Common Stock
|
650000
|
$15.68
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
6/9/2012
|
6/9/2021
|
Common Stock
|
700000
|
$18.58
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/7/2013
|
9/7/2022
|
Common Stock
|
700000
|
$21.59
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/13/2014
|
9/13/2023
|
Common Stock
|
500000
|
$23.78
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/5/2015
|
9/5/2024
|
Common Stock
|
550000
|
$26.10
|
D
|
|
Employee Stock Options (right to buy)
(8)
|
9/11/2016
|
9/11/2025
|
Common Stock
|
184000
|
$24.95
|
D
|
|
Employee Stock Option (right to buy)
(8)
|
9/9/2017
|
9/9/2026
|
Common Stock
|
200000
|
$30.11
|
D
|
|
Explanation of Responses:
|
(
1)
|
1-for-1
|
(
2)
|
50,000 units granted 07/27/2012; 10,000 units vested on 07/27/2013 ; 10,000 units vested on 07/27/2014 ; 10,000 vested on 07/27/2015; 10,000 vested on 07/27/2016 and 10,000 are scheduled to vest on 07/27/2017.
|
(
3)
|
100,000 units granted 07/24/2014; 20,000 units vested on 07/24/2015; 20,000 units vested on 07/24/2016 ; 20,000 are scheduled to vest on 07/24/2017; 20,000 are scheduled to vest on 07/24/2018 and 20,000 are scheduled to vest on 07/24/2019.
|
(
4)
|
53,000 units granted 09/11/2015; 53,000 units are scheduled to vest on 02/01/2018.
|
(
5)
|
50,000 units granted 09/11/2015; 10,000 units vested on 9/11/2016; 10,000 units are scheduled to vest on 09/11/2017; 10,000 units are scheduled to vest on 09/11/2018; 10,000 are scheduled to vest on 09/11/2019; and 10,000 are scheduled to vest on 09/11/2020.
|
(
6)
|
37,000 units granted 9/11/2015; 7,400 units vested on 9/11/2016; 7,400 units are scheduled to vest on 9/11/2017; 7,400 units are scheduled to vest on 9/11/2018; 7,400 units are scheduled to vest on 9/11/2019; and 7,400 units are scheduled to vest on 9/11/2020.
|
(
7)
|
27,000 units granted on 9/9/2016; 5,400 units are scheduled to vest on 9/9/2017; 5,400 units are sceduled 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.
|
(
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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Joyce David Leon
GENERAL ELECTRIC COMPANY
41 FARNSWORTH STREET
BOSTON, MA 02210
|
|
|
Vice Chairman
|
|
Signatures
|
Brian Sandstrom on behalf of David L. Joyce
|
|
9/19/2016
|
**
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 control number.
|
General Electric (NYSE:GE)
Historical Stock Chart
From Feb 2024 to Mar 2024
General Electric (NYSE:GE)
Historical Stock Chart
From Mar 2023 to Mar 2024