UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 15,000 | $ (1) | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 30,000 | $ (1) | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 18,000 | $ (1) | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Stock | 40,000 | $ (1) | D | Â |
Restricted Stock Units | Â (6) | Â (6) | Common Stock | 16,000 | $ (1) | D | Â |
Restricted Stock Units | Â (7) | Â (7) | Common Stock | 50,000 | $ (1) | D | Â |
Restricted Stock Units | Â (8) | Â (8) | Common Stock | 21,000 | $ (1) | D | Â |
Employee Stock Option (right to buy) (9) | 09/07/2013 | 09/07/2022 | Common Stock | 325,000 | $ 21.59 | D | Â |
Employee Stock Option (right to buy) (9) | 09/13/2014 | 09/13/2023 | Common Stock | 350,000 | $ 23.78 | D | Â |
Employee Stock Option (right to buy) (9) | 09/05/2015 | 09/05/2024 | Common Stock | 400,000 | $ 26.1 | D | Â |
Employee Stock Option (right to buy) (9) | 09/11/2016 | 09/11/2025 | Common Stock | 150,000 | $ 24.95 | D | Â |
Employee Stock Option (right to buy) (9) | 09/09/2017 | 09/09/2026 | Common Stock | 150,000 | $ 30.11 | D | Â |
Employee Stock Option (right to buy) (9) | 09/06/2018 | 09/06/2027 | Common Stock | 150,000 | $ 24.92 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Miller Jamie S GENERAL ELECTRIC COMPANY 41 FARNSWORTH STREET BOSTON, MA 02210 |
 |  |  Senior Vice President |  |
Brian Sandstrom on behalf of Jamie S. Miller | 11/03/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(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. |