11th Oct 2013 13:08
SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)10/01/2013 | 3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 132,596 | D |
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Common Stock | 3,742 | I | by 401(k) |
Common Stock | 7 | I | By family |
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 | 33,338 | (2) | D |
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Restricted Stock Units | (3) | (3) | Common Stock | 5,000 | (2) | D |
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Restricted Stock Units | (4) | (4) | Common Stock | 6,250 | (2) | D |
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Restricted Stock Units | (5) | (5) | Common Stock | 40,000 | (2) | D |
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Restricted Stock Units | (6) | (6) | Common Stock | 45,000 | (2) | D |
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Restricted Stock Units | (7) | (7) | Common Stock | 40,000 | (2) | D |
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Restricted Stock Units | (8) | (8) | Common Stock | 150,000 | (2) | D |
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Employee Stock Options (right to buy) (9) | 09/17/2005 | 09/17/2014 | Common Stock | 42,000 | 34.22 | D |
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Employee Stock Options (right to buy) (9) | 09/16/2006 | 09/17/2015 | Common Stock | 48,000 | 34.47 | D |
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Employee Stock Options (right to buy) (9) | 09/08/2007 | 09/08/2016 | Common Stock | 55,000 | 34.01 | D |
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Employee Stock Options (right to buy) (9) | 09/07/2008 | 09/07/2017 | Common Stock | 62,500 | 38.75 | D |
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Employee Stock Options (right to buy) (9) | 09/09/2009 | 09/09/2018 | Common Stock | 75,000 | 28.12 | D |
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Employee Stock Options (right to buy) (9) | 03/12/2010 | 03/12/2019 | Common Stock | 140,000 | 9.57 | D |
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Employee Stock Options (right to buy) (9) | 07/23/2010 | 07/23/2019 | Common Stock | 400,000 | 11.95 | D |
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Employee Stock Options (right to buy) (9) | 06/10/2011 | 06/10/2020 | Common Stock | 550,000 | 15.68 | D |
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Employee Stock Options (right to buy) (9) | 06/09/2012 | 06/09/2021 | Common Stock | 700,000 | 18.58 | D |
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Employee Stock Options (right to buy) (9) | 09/07/2013 | 09/07/2022 | Common Stock | 700,000 | 21.59 | D |
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Explanation of Responses: |
1. Reallocable to other investment media. Payable after termination of employment. |
2. 1-for-1 |
3. 20,000 units granted 07/28/2005; 5,000 units vested on 7/28/2008; 5,000 units vested on 7/28/2010; 5,000 vested on 7/28/2012; and 5,000 are scheduled to vest on 7/28/2015. |
4. 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; and 6,250 are scheduled to vest on 7/27/2016. |
5. 100,000 units granted 09/3/2010; 20,000 units vested on 9/3/2011; 20,000 units vested on 9/3/2012; 20,000 units vested on 9/3/2013; 20,000 are scheduled to vest on 9/3/2014; and 20,000 are scheduled to vest on 9/3/2015. |
6. 75,000 units granted 09/2/2011; 15,000 units vested on 9/2/2012; 15,000 units vested on 9/2/2013; 15,000 are scheduled to vest on 9/3/2014; 15,000 are scheduled to vest on 9/2/2015 and 15,000 are scheduled to vest on 9/2/2016. |
7. 50,000 units granted 07/27/2012; 10,000 units vested on 7/27/2013; 10,000 are scheduled to vest on 7/27/2014; 10,000 are scheduled to vest on 7/27/2015; 10,000 are scheduled to vest on 7/27/2016; and 10,000 are scheduled to vest on 7/27/2017. |
8. 150,000 units granted 09/13/2013; 50,000 units are scheduled to vest on 10/1/2014; 50,000 units are scheduled to vest on 10/1/2015; and 50,000 units are scheduled to vest on 10/1/2016. |
9. The options became 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 Daniel Heintzelman | 10/09/2013 |
| ** 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. | ||
Related Shares:
GEC.L