RNS Number : 0593G
General Electric Company
02 August 2016
SEC Form 4
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL
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OMB Number:
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3235-0287
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Estimated average burden
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hours per response:
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0.5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may
continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
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GENERAL ELECTRIC COMPANY
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3135 EASTON TURNPIKE
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(Street)
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2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ GE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director
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10% Owner
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X
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Officer (give title below)
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Other (specify below)
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Senior Vice President
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3. Date of Earliest Transaction (Month/Day/Year)
07/29/2016
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4. If Amendment, Date of Original Filed (Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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X
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Form filed by One Reporting Person
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Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned
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1. Title of Security (Instr. 3)
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code (Instr. 8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and
4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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07/29/2016
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M
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44,000
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A
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$9.57
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59,057
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D
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Common Stock
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07/29/2016
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F
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28,637
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D
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$31.15
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30,420
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D
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Common Stock
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07/29/2016
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M
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120,000
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A
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$11.95
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150,420
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D
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Common Stock
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07/29/2016
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F
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83,018
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D
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$31.15
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67,402
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D
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Common Stock
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07/29/2016
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M
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150,000
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A
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$15.68
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217,402
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D
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Common Stock
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07/29/2016
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F
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112,455
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D
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$31.15
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104,947
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D
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially
Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and
5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and
4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$9.57(1)
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07/29/2016
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M
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44,000
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03/12/2010
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03/12/2019
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Common Stock
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44,000
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$0
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0
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D
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Employee Stock Option (right to buy)
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$11.95(1)
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07/29/2016
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M
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120,000
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07/23/2010
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07/23/2019
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Common Stock
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120,000
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$0
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0
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D
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Employee Stock Option (right to buy)
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$15.68(1)
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07/29/2016
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M
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150,000
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06/10/2011
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06/10/2020
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Common Stock
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150,000
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$0
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125,000
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D
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Explanation of Responses:
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1. All transactions reported on this Form 4 were conducted outside a trading
venue.
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Remarks:
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Brian Sandstrom on behalf of Susan P. Peters
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08/02/2016
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** 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).
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** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note: File three copies of this Form, one of which must be manually signed. If space is
insufficient, see Instruction 6 for procedure.
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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.
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END
DSHEAEPAESSKEAF