General Electric Company Director/PDMR Shareholding (5858V)
06 November 2017 - 6:00PM
UK Regulatory
TIDMGEC
RNS Number : 5858V
General Electric Company
03 November 2017
FORM 3 UNITED STATES SECURITIES AND EXCHANGE OMB APPROVAL
COMMISSION OMB Number:
Washington, D.C. 20549 3235-0104
Estimated average
INITIAL STATEMENT OF BENEFICIAL burden
OWNERSHIP OF SECURITIES hours per response...
0.5
------
Filed pursuant to Section 16(a)
of the Securities Exchange Act of
1934 or Section 30(h) of the Investment
Company Act of 1940
1. Name and 2. Date of 3. Issuer Name and Ticker or
Address Event Requiring Trading Symbol
of Reporting Statement (MM/DD/YYYY)
Person 11/1/2017 GENERAL ELECTRIC CO [GE]
(*)
Miller Jamie
S
------------ ------------------------- -------------------------------------------------------------------
(Last) 4. Relationship of Reporting Person(s) to
(First) Issuer (Check all applicable)
(Middle)
_____ Director _____ 10% Owner
GENERAL ___ X ___ Officer (give title below) _____
ELECTRIC Other (specify below)
COMPANY, 41 Senior Vice President /
FARNSWORTH
STREET
------------ ----------------------------------------------------------------------------------------------
(Street) 5. If Amendment, 6. Individual or Joint/Group
Date Original Filing (Check Applicable Line)
BOSTON, MA Filed (MM/DD/YYYY)
02210 _ X _ Form filed by One Reporting
Person
(City) ___ Form filed by More than
(State) One Reporting Person
(Zip)
------------ ------------------------- -------------------------------------------------------------------
Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security 2. Amount of 3. Ownership 4. Nature of Indirect
(Instr. 4) Securities Form: Beneficial Ownership
Beneficially Direct (Instr. 5)
Owned (D) or
(Instr. 4) Indirect
(I)
(Instr.
5)
------------------------- -------------------------- ------------ ---------------------------------------
Common Stock 240207 D
------------------------- -------------------------- ------------ ---------------------------------------
Table II - Derivative Securities Beneficially Owned ( e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of 2. Date Exercisable 3. Title and 4. 5. 6. Nature
Derivate and Expiration Amount of Conversion Ownership of Indirect
Security Date Securities or Exercise Form of Beneficial
(Instr. 4) (MM/DD/YYYY) Underlying Price Derivative Ownership
Derivative of Security: (Instr.
Security Derivative Direct 5)
(Instr. 4) Security (D) or
Indirect
(I)
(Instr.
5)
------------ ------------------------- -------------------------- ------------ ----------- ------------
Date Expiration Title Amount
Exercisable Date or Number
of Shares
----------- ------------ ------------ ------------
Restricted
Stock Common
Units (2) (2) Stock 15000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (3) (3) Stock 30000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (4) (4) Stock 18000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (5) (5) Stock 40000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (6) (6) Stock 16000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (7) (7) Stock 50000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Restricted
Stock Common
Units (8) (8) Stock 21000 (1) D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/7/2013 9/7/2022 Stock 325000 $21.59 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/13/2014 9/13/2023 Stock 350000 $23.78 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/5/2015 9/5/2024 Stock 400000 $26.10 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/11/2016 9/11/2025 Stock 150000 $24.95 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/9/2017 9/9/2026 Stock 150000 $30.11 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Employee
Stock
Option
(right
to buy) Common
(9) 9/6/2018 9/6/2027 Stock 150000 $24.92 D
------------ ----------- ------------ ------------ ------------ ------------ ----------- ------------
Explanation of Responses:
(1) 1-for-1
(2) 75,000 units granted on 7/25/2013; 15,000 units vested
on 7/25/2014; 15,000 units vested on 7/25/2015; 15,000
units vested on 7/25/2016; 15,000 units vested on 7/25/2017;
and 15,000 units are scheduled to vest on 7/25/2018.
(3) 75,000 units granted on 7/24/2014; 15,000 units vested
on 7/24/2015; 15,000 units vested on 7/24/2016; 15,000
units vested on 7/24/2017; 15,000 units are scheduled
to vest on 7/24/2018; and 15,000 units are scheduled
to vest on 7/24/2019.
(4) 30,000 units granted on 9/11/2015; 6,000 units vested
on 9/11/2016; 6,000 units vested 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.
(5) 50,000 units granted on 7/28/2016; 10,000 units vested
on 7/28/2017; 10,000 units are scheduled to vest on 7/28/2018;
10,000 units are scheduled to vest on 7/28/2019; 10,000
units are scheduled to vest on 7/28/2020; 10,000 units
are scheduled to vest on 7/28/2021.
(6) 20,000 units granted on 9/9/2016; 4,000 units vested
on 9/9/2017; 4,000 units are scheduled to vest on 9/9/2018;
4,000 units are scheduled to vest on 9/9/2019; 4,000
units are scheduled to vest on 9/9/2020; 4,000 units
are scheduled to vest on 9/9/2021.
(7) 50,000 units granted on 7/27/2017; 25,000 units are scheduled
to vest on 7/27/2020; 25,000 units are scheduled to vest
on 7/27/2022.
(8) 21,000 units granted on 9/6/2017; 4,200 units are scheduled
to vest on 9/6/2018; 4,200 units are scheduled to vest
on 9/6/2019; 4,200 units are scheduled to vest on 9/6/2020;
4,200 units are scheduled to vest on 9/6/2021; 4,200
units are scheduled to vest on 9/6/2022.
(9) 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.
Reporting Owners
Reporting Owner Name Relationships
/ Address
--------------------- ---------------------------------------
Director 10% Owner Officer Other
-------- --------- ----------- -----
Miller Jamie S Senior Vice
GENERAL ELECTRIC President
COMPANY
41 FARNSWORTH STREET
BOSTON, MA 02210
--------------------- -------- --------- ----------- -----
Signatures
Brian Sandstrom on behalf 11/3/2017
of Jamie S. Miller
------------------------- ---------
** Signature of Reporting Date
Person
Reminder: Report on a separate line for each class of securities
beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person,
see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations. See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually
signed. If space is insufficient, see Instruction 6 for
procedure.
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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Jamie Miller, hereby appoint GE to assist me in the
preparation and
filing of Section 16 reports, and execute the below Power of
Attorney
for this purpose.
I am an officer of General Electric Company (GE) and, until
further
written notice, I hereby individually authorize Christoph
Pereira
(GE's Vice President, Chief Corporate, Securities and Finance
Counsel),
Aaron Briggs (GE's Executive Corporate, Securities and Finance
Counsel),
Brian Sandstrom (GE's Executive Corporate, Securities and
Finance Counsel)
and Brandon Smith (GE's Executive Corporate, Securities and
Finance
Counsel) to sign on my behalf any Form 3, Form 4, Form 5, Form
144 or
related form that I have filed or may file hereafter in
connection with
my direct or indirect beneficial ownership of GE securities, and
to
take any other action of any type whatsoever in connection with
the
foregoing that in his opinion may be for the benefit of, in the
best
interest of, or legally required by me.
Signed: /s/ Jamie S. Miller
Date: 10/8/2017
This information is provided by RNS
The company news service from the London Stock Exchange
END
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