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GENERAL ELECTRIC CO — Director's Dealing 2017
Feb 7, 2017
14789_dirs_2017-02-07_ee9aeec6-5bbe-495f-a2f2-d420ab1940db.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GENERAL ELECTRIC CO (GE)
CIK: 0000040545
Period of Report: 2017-02-03
Reporting Person: Joyce David Leon (Vice Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-03 | Common Stock | M | 400000 | — | Acquired | 738907 | Direct |
| 2017-02-03 | Common Stock | F | 254895 | $29.60 | Disposed | 484012 | Direct |
| 2017-02-03 | Common Stock | M | 500000 | — | Acquired | 984012 | Direct |
| 2017-02-03 | Common Stock | F | 346209 | $29.60 | Disposed | 637803 | Direct |
| 2017-02-03 | Common Stock | S | 159662 | $29.56 | Disposed | 478141 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-03 | Employee Stock Option (right to buy) | $9.57 | M | 400000 | Disposed | 2019-03-12 | Common Stock (400000) | Direct |
| 2017-02-03 | Employee Stock Option (right to buy) | $11.95 | M | 500000 | Disposed | 2019-07-23 | Common Stock (500000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 30780 | Indirect |
Footnotes
F1: This transaction was conducted outside a trading venue.
F2: This transaction was conducted via an internal systemizer.
F3: The stock option vested in five equal annual installments of 20% each beginning on the first anniversary of the grant date of March 12, 2009.
F4: The stock option vested in five equal annual installments of 20% each beginning on the first anniversary of the grant date of July 23, 2009.
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