SEC Form 4 · accession 0001127602-17-002387
BAKER HUGHES a GE Co LLC · BHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derek Mathieson
Officer — Vice President
Period of report
Dec 30, 2016
Accepted (ET)
Jan 25, 2017 · 6:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000808362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par ValueF2 | Dec 30, 2016 | A | 130 | $38.361 | A | 16,188 | D | |
| Common Stock, $1.00 Par ValueF3 | Jan 23, 2017 | M | 13,040 | $0.00 | A | 29,228 | D | |
| Common Stock, $1.00 Par Value | Jan 23, 2017 | F | 3,629 | $61.98 | D | 25,599 | D | |
| Common Stock, $1.00 Par ValueF3 | Jan 23, 2017 | M | 4,463 | $0.00 | A | 30,062 | D | |
| Common Stock, $1.00 Par Value | Jan 23, 2017 | F | 1,421 | $61.98 | D | 28,641 | 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 UnitsF3,F4 | — | Jan 23, 2017 | M | 13,040 | D | — | — | Common Stock, $1.00 Par Value | 13,040 | 13,040 | D |
| Restricted Stock UnitsF3,F4 | — | Jan 23, 2017 | M | 4,463 | D | — | — | Common Stock, $1.00 Par Value | 4,463 | 0 | D |
Explanation of responses
- F1Acquisition under Employee Stock Purchase Plan exempt from Section 16b of the Securities Exchange Act of 1934 by Rule 16b-3.
- F2The total includes an adjustment due to an administrative error.
- F3Each restricted stock unit represents a right to receive without payment one share of Baker Hughes common stock.
- F4The restricted stock unit vests in three equal annual installments beginning one year from the date of grant.