Initial Statement of Beneficial Ownership (3)
04 August 2017 - 6:08AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Flannery John Leonard
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
GENERAL ELECTRIC CO [GE]
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(Last)
(First)
(Middle)
41 FARNSWORTH STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
CEO and Director /
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(Street)
BOSTON, MA 02210
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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509430
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D
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Common Stock
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2017
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I
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by 401(k)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(2)
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(2)
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Common Stock
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10000
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(1)
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D
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Restricted Stock Units
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(3)
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(3)
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Common Stock
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40000
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(1)
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D
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Restricted Stock Units
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(4)
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(4)
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Common Stock
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24000
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(1)
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D
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Restricted Stock Units
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(5)
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(5)
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Common Stock
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27000
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(1)
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D
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Employee Stock Option (right to buy)
(6)
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9/7/2008
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9/7/2017
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Common Stock
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37500
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$38.75
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D
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Employee Stock Option (right to buy)
(6)
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7/23/2010
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7/23/2019
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Common Stock
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100000
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$11.95
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D
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Employee Stock Option (right to buy)
(6)
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6/10/2011
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6/10/2020
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Common Stock
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350000
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$15.68
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D
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Employee Stock Option (right to buy)
(6)
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6/9/2012
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6/9/2021
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Common Stock
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450000
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$18.58
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D
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Employee Stock Option (right to buy)
(6)
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9/7/2013
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9/7/2022
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Common Stock
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500000
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$21.59
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D
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Employee Stock Option (right to buy)
(6)
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9/13/2014
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9/13/2023
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Common Stock
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400000
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$23.78
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D
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Employee Stock Option (right to buy)
(6)
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9/5/2015
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9/5/2024
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Common Stock
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450000
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$26.10
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D
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Employee Stock Option (right to buy)
(6)
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9/11/2016
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9/11/2025
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Common Stock
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150000
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$24.95
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D
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Employee Stock Option (right to buy)
(6)
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9/9/2017
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9/9/2026
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Common Stock
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200000
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$30.11
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D
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Explanation of Responses:
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(1)
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1-for-1
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(2)
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50,000 units granted on 7/25/2013; 10,000 units vested on 7/25/2014; 10,000 units vested on 7/25/2015; 10,000 units vested on 7/25/2016; 10,000 units vested on 7/25/2017; and 10,000 units are scheduled to vest on 7/25/2018.
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(3)
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100,000 units granted on 7/24/2014; 20,000 units vested on 7/24/2015; 20,000 units vested on 7/24/2016; 20,000 units vested on 7/24/2017; 20,000 units are scheduled to vest on 7/24/2018; and 20,000 units are scheduled to vest on 7/24/2019.
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(4)
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30,000 units granted on 9/11/2015; 6,000 units vested on 9/11/2016; 6,000 units are scheduled to vest on 9/11/2017; 6,000 units are scheduled to vest on 9/11/2018; 6,000 units are scheduled to vest on 9/11/2019; and 6,000 units are scheduled to vest on 9/11/2020.
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(5)
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27,000 units granted on 9/9/2016; 5,400 units are scheduled to vest on 9/9/2017; 5,400 units are scheduled to vest on 9/9/2018; 5,400 units are scheduled to vest on 9/9/2019; 5,400 units are scheduled to vest on 9/9/2020; and 5,400 units are scheduled to vest on 9/9/2021.
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(6)
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The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right, and another 20% become exercisable each year thereafter.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Flannery John Leonard
41 FARNSWORTH STREET
BOSTON, MA 02210
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CEO and Director
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Signatures
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Brian Sandstrom on behalf of John L. Flannery
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8/3/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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