SEC Form 4 · accession 0001231205-16-000201
GENERAL ELECTRIC CO · GE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith S Sherin
Officer — Vice Chairman
Period of report
Nov 5, 2016
Accepted (ET)
Nov 8, 2016 · 4:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040545
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 5, 2016 | M | 8,000 | $0.00 | A | 8,150 | D | |
| Common Stock | Nov 5, 2016 | F | 4,017 | $28.52 | D | 4,133 | D | |
| Common Stock | holding | — | — | — | 44,129 | I | by family | |
| Common Stock | holding | — | — | — | 88,849 | I | by family trust | |
| Common Stock | holding | — | — | — | 62,127 | I | by trust | |
| Common Stock | holding | — | — | — | 5,082 | I | by grantor retained annunity trust | |
| Common Stock | holding | — | — | — | 44,642 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Nov 5, 2016 | M | 8,000 | D | Nov 5, 2016 | Nov 5, 2016 | Common Stock | 8,000 | 32,000 | D |
Explanation of responses
- F11 for 1
- F2All transactions reported on this Form 4 were conducted outside a trading venue.