4th Jan 2018 13:28
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 COMMISSIONWashington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
| OMB APPROVALOMB Number: 3235-0287Estimated average burdenhours 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 *
MULVA JAMES J | 2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ GE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director _____ 10% Owner_____ Officer (give title below) _____ Other (specify below) | |||||||||||||||||||||||||
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY, 41 FARNSWORTH STREET | 3. Date of Earliest Transaction (MM/DD/YYYY)
1/2/2018 | ||||||||||||||||||||||||||
(Street)
BOSTON, MA 02210 (City) (State) (Zip) | 4. 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 Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||
1.Title of Security(Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)(Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||||||||||||||
Code | V | Amount | (A) or (D) | Price | |||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||
1. Title of Derivate Security(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security(Instr. 3 and 4) | 8. Price of Derivative Security(Instr. 5) | 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) | ||||||||||||||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||||||||||||
Deferred Fee Phantom Stock Units (1) | (2) | 1/2/2018 | A |
| 4747 |
| (3) | (3) | Common Stock | 4747 | $17.64 | 151839 | D |
| |||||||||||||
Explanation of Responses: | |
(1) | Acquired at a price of $17.64 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director. |
(2) | Each unit of phantom stock is the economic equivalent of one share of common stock. |
(3) | Payable beginning one year after termination of service as a director. |
Reporting Owners | ||||
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MULVA JAMES JGENERAL ELECTRIC COMPANY41 FARNSWORTH STREETBOSTON, MA 02210 | X |
Signatures | ||
Brian Sandstrom on behalf of James J. Mulva | 1/3/2018 | |
** 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 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. |
Related Shares:
GEC.L