SEC Form 4 · accession 0001231205-19-000064
GENERAL ELECTRIC CO · GE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russell Stokes
Officer — Senior Vice President
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:43 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 28, 2019 | M | 40,470 | $0.00 | A | 232,321 | D | |
| Common StockF1 | Feb 28, 2019 | F | 18,354 | $10.72 | D | 213,967 | D |
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,F3,F2 | — | Feb 28, 2019 | M | 40,470 | D | Feb 26, 2019 | Feb 26, 2019 | Common Stock | 40,470 | 80,941 | D |
Explanation of responses
- F1Settlement of Restricted Stock Units was delayed due to a blackout imposed following the spin-off and merger of GE Transportation with Wabtec Corporation.
- F21 for 1
- F3Equity incentive awards were adjusted following the spin-off and merger of GE Transportation with Wabtec Corporation to reflect an anti-dilution factor.