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Director/PDMR Shareholding

3rd Apr 2018 07:00

RNS Number : 5373J
General Electric Company
02 April 2018
 

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Sebastien Bazin

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

 

 

 

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).

Page 1 of 2

4/2/2018 12:27:38 PM

Sebastien Bazin

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,423

(3)

(3)

Common Stock

5,423

$14.06

25,153

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Sebastien Bazin

**Signature of Reporting Person

4/2/2018

Date

 

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Page 2 of 2

4/2/2018 12:27:38 PM

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Geoffrey Beattie

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Geoffrey Beattie

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,512

(3)

(3)

Common Stock

5,512

$14.06

137,980

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Geoffrey Beattie

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* John Brennan

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

John Brennan

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

6,401

(3)

(3)

Common Stock

6,401

$14.06

83,730

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of John Brennan

**Signature of Reporting Person

4/2/2018

Date

 

 

 

1. Name and Address of Reporting Person* Marijn Dekkers

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Marijn Dekkers

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,512

(3)

(3)

Common Stock

5,512

$14.06

52,242

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Marijn Dekkers

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Francisco D'Souza

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Francisco D'Souza General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,068

(3)

(3)

Common Stock

5,068

$14.06

59,747

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Francisco D'Souza

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Peter Henry

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Peter Henry

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,512

(3)

(3)

Common Stock

5,512

$14.06

23,200

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Peter Henry

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Susan Hockfield

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Susan Hockfield

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

3,147

(3)

(3)

Common Stock

3,147

$14.06

96,261

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Susan Hockfield

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

1. Name and Address of Reporting Person* Andrea Jung

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Andrea Jung

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

3,307

(3)

(3)

Common Stock

3,307

$14.06

157,737

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Andrea Jung

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Risa Lavizzo-Mourey

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Risa Lavizzo-Mourey General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

4,054

(3)

(3)

Common Stock

4,054

$14.06

10,677

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Risa Lavizzo- Mourey

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Rochelle Lazarus

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Rochelle Lazarus

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,512

(3)

(3)

Common Stock

5,512

$14.06

231,090

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Rochelle Lazarus

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Steven Mollenkopf

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Steven Mollenkopf General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,068

(3)

(3)

Common Stock

5,068

$14.06

18,147

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Steven Mollenkopf

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* James Mulva

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

James Mulva

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

6,046

(3)

(3)

Common Stock

6,046

$14.06

158,975

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of James Mulva

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* James Rohr

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

James Rohr

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

3,894

(3)

(3)

Common Stock

3,894

$14.06

36,272

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of James Rohr

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* Mary Schapiro

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

Mary Schapiro

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,071

(3)

(3)

Common Stock

5,071

$14.06

47,459

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of Mary Schapiro

**Signature of Reporting Person

4/2/2018

Date

 

 

 

 

 

 

 

1. Name and Address of Reporting Person* James Tisch

General Electric Company 41 Farnsworth Street

Boston MA 02210

2. Issuer Name and Ticker or Trading Symbol General Electric Company [GE]

5. Relationship of Reporting Person(s) to Issuer (check all applicable)

_X_ Director 10% Owner

Officer (give title below) Other (specify below)

3. Date of Earliest Transaction Required to be Reported (Month/Day/Year)

04/02/2018

4. If amendment, Date 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 Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)

2.

Transaction Date (mm/dd/yy)

2A. Deemed Execution Date, if any (mm/dd/yy)

3. Transaction Code

(Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, & 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3, & 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

James Tisch

General Electric Company 41 Farnsworth Street

Boston MA 02210

General Electric Company [GE]

 

Period Of Report 04/02/2018

 

 

Table II -Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Con- version or Exercise Price of Derivative Security

3. Trans- action Date (mm/dd/yy)

3A. Deemed Execution Date, if any (mm/dd/yy)

4. Trans- action Code (Instr. 8)

5. No. of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4, & 5)

6. Date Exercisable and Expiration Date (mm/dd/yy)

7. Title and Amount of Underlying Securities (Instr. 3 & 4)

8. Price of Derivative Security (Instr. 5)

9. No. of Derivative Securities Beneficially Owned Following Reported Trans- action(s) (Instr. 3, &

4)

10.

Ownership Form of Derivative Securities: Direct (D)

or Indirect (I) (Instr. 4)

11. Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

 

 

V

 

 

(A)

 

 

(D)

Date Exer- cisable

Expiration Date

Title

Amount or Number of Shares

Deferred Fee Phantom Stock Units (1)

(2)

04/02/2018

A

5,601

(3)

(3)

Common Stock

5,601

$14.06

97,015

D

 

Explanation of Responses:

(1) - Acquired at a price of $14.06 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.

 

 

By: Brian Sandstrom on behalf of James Tisch

**Signature of Reporting Person

4/2/2018

Date

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