SEC Form 4 · accession 0001231205-16-000215
GENERAL ELECTRIC CO · GE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Peters
Officer — Senior Vice President
Period of report
Sep 11, 2016
Accepted (ET)
Dec 13, 2016 · 5:04 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 | Sep 11, 2016 | M | 19,200 | $0.00 | A | 135,164 | D | |
| Common Stock | Sep 11, 2016 | F | 9,497 | $30.46 | D | 125,667 | D | |
| Common Stock | holding | — | — | — | 36,138 | I | by grantor retained annuity trust |
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,F3 | — | Sep 11, 2016 | M | 19,200 | D | Sep 11, 2016 | Sep 11, 2016 | Common Stock | 19,200 | 0 | D |
Explanation of responses
- F11 for 1
- F2All transactions reported on this Form 4 were conducted outside a trading venue.
- F3This RSU grant became eligible for exercise on September 11, 2016 but was processed on December 12, 2016 due to an administrative oversight.