General Electric Company Director/PDMR Shareholding (5187H)
November 15 2018 - 9:20AM
UK Regulatory
TIDMGEC
RNS Number : 5187H
General Electric Company
15 November 2018
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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
Check this
box if no longer
subject to
Section 16.
Form 4 or Form
5 obligations
may continue.
See Instruction
1(b).
1. Name and Address of Reporting Person(*) DSOUZA FRANCISCO 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s)
GENERAL ELECTRIC CO [ GE ] to Issuer
(Last) (First) (Middle) (Check all applicable) X Director 10% Owner
GENERAL ELECTRIC COMPANY Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
11/14/2018
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing
(Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting
Person
------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Ownership 7. Nature
Date Execution Code (Instr. (A) or Disposed Of (D) Securities Form: Direct of Indirect
(Month/Day/Year) Date, 8) (Instr. 3, 4 and 5) Beneficially (D) or Indirect Beneficial
if any Owned (I) (Instr. Ownership
(Month/Day/Year) Following 4) (Instr.
Reported 4)
Transaction(s)
(Instr. 3 and
4)
------------------ ------------------ -------------------------- ---------------------------- --------------- ------------------------ ------------------------------------------
Code V Amount (A) Price
or
(D)
------------------ ------------------ ---------- -------------- ----------- ---- --------- --------------- --------------- ------- ----- -----------------------------------
Common Stock 11/14/2018 P 60,000 A $8.32(1) 151,500 D
-------------------------------------- ---------- -------------- ----------- ---- --------- --------------- ------------------------ ------------------------------------------
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. 3. Transaction 3A. Deemed 4. Transaction 5. Number of 6. Date Exercisable 7. Title and Amount 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Code (Instr. Derivative and Expiration of Securities of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, 8) Securities Date (Month/Day/Year) Underlying Security Securities Direct Beneficial
(Instr. Exercise if any Acquired (A) Derivative Security (Instr. Beneficially (D) or Ownership
3) Price (Month/Day/Year) or Disposed (Instr. 3 and 4) 5) Owned Indirect (Instr.
of of (D) (Instr. Following (I) (Instr. 4)
Derivative 3, 4 and 5) Reported 4)
Security Transaction(s)
(Instr.
4)
------------ --------------------- ------------------ ----------------- --------------------------------------- -------------------------------- --------------------- --------------- --------------- -------------- -----------------------------------
Amount
or
Number
Date Expiration of
Code V (A) (D) Exercisable Date Title Shares
--------- ------ ------------------ ------------------- ---------------- -------------------------------------------------------------------------------- ---------- --------- --------------- --------------- ------- ----- -----------------------------------
Explanation of Responses:
1. The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $8.31
to $8.32, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the
staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased
at each separate price within the range.
Remarks:
Brian Sandstrom on behalf 11/15/2018
of Francisco D'Souza
** 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 4 (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 Number.
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END
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