SEC Form 4 · accession 0001231205-17-000022
GENERAL ELECTRIC CO · GE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Leon Joyce
Officer — Vice Chairman
Period of report
Feb 3, 2017
Accepted (ET)
Feb 7, 2017 · 4:16 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 StockF1 | Feb 3, 2017 | M | 400,000 | $0.00 | A | 738,907 | D | |
| Common StockF1 | Feb 3, 2017 | F | 254,895 | $29.60 | D | 484,012 | D | |
| Common StockF1 | Feb 3, 2017 | M | 500,000 | $0.00 | A | 984,012 | D | |
| Common StockF1 | Feb 3, 2017 | F | 346,209 | $29.60 | D | 637,803 | D | |
| Common StockF2 | Feb 3, 2017 | S | 159,662 | $29.56 | D | 478,141 | D | |
| Common Stock | holding | — | — | — | 30,780 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $9.57 | Feb 3, 2017 | M | 400,000 | D | — | Mar 12, 2019 | Common Stock | 400,000 | 0 | D |
| Employee Stock Option (right to buy)F4 | $11.95 | Feb 3, 2017 | M | 500,000 | D | — | Jul 23, 2019 | Common Stock | 500,000 | 0 | D |
Explanation of responses
- F1This transaction was conducted outside a trading venue.
- F2This transaction was conducted via an internal systemizer.
- F3The stock option vested in five equal annual installments of 20% each beginning on the first anniversary of the grant date of March 12, 2009.
- F4The stock option vested in five equal annual installments of 20% each beginning on the first anniversary of the grant date of July 23, 2009.