SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Miller Jamie S

(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
41 FARNSWORTH STREET

(Street)
BOSTON MA 02210

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/01/2017
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ GE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 240,207 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (2) (2) Common Stock 15,000 (1) D
Restricted Stock Units (3) (3) Common Stock 30,000 (1) D
Restricted Stock Units (4) (4) Common Stock 18,000 (1) D
Restricted Stock Units (5) (5) Common Stock 40,000 (1) D
Restricted Stock Units (6) (6) Common Stock 16,000 (1) D
Restricted Stock Units (7) (7) Common Stock 50,000 (1) D
Restricted Stock Units (8) (8) Common Stock 21,000 (1) D
Employee Stock Option (right to buy)(9) 09/07/2013 09/07/2022 Common Stock 325,000 21.59 D
Employee Stock Option (right to buy)(9) 09/13/2014 09/13/2023 Common Stock 350,000 23.78 D
Employee Stock Option (right to buy)(9) 09/05/2015 09/05/2024 Common Stock 400,000 26.1 D
Employee Stock Option (right to buy)(9) 09/11/2016 09/11/2025 Common Stock 150,000 24.95 D
Employee Stock Option (right to buy)(9) 09/09/2017 09/09/2026 Common Stock 150,000 30.11 D
Employee Stock Option (right to buy)(9) 09/06/2018 09/06/2027 Common Stock 150,000 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.
Remarks:
Brian Sandstrom on behalf of Jamie S. Miller 11/03/2017
** Signature of Reporting Person Date
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.
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