-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EFa+xMfSb33m5wcq6odOssUa6a3xM5ROveZm5Myri4Vph04X5Cklmkh47kPzqztt aRuqLqM9oWCfbNQVSBLE+w== 0000746687-05-000070.txt : 20050831 0000746687-05-000070.hdr.sgml : 20050831 20050831111231 ACCESSION NUMBER: 0000746687-05-000070 CONFORMED SUBMISSION TYPE: N-CSRS PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20050630 FILED AS OF DATE: 20050831 DATE AS OF CHANGE: 20050831 EFFECTIVENESS DATE: 20050831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC S&S PROGRAM MUTUAL FUND CENTRAL INDEX KEY: 0000040559 IRS NUMBER: 136220795 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CSRS SEC ACT: 1940 Act SEC FILE NUMBER: 811-01494 FILM NUMBER: 051060629 BUSINESS ADDRESS: STREET 1: GEIM STREET 2: 3003 SUMMER STREET CITY: STAMFORD STATE: CT ZIP: 06904 BUSINESS PHONE: 2033262300 MAIL ADDRESS: STREET 1: 3003 SUMMER ST CITY: STAMFORD STATE: CT ZIP: 06904 N-CSRS 1 ssprgm.txt S&S PROGRAM MUTUAL FUND - CERTIFICATION OF SHAREHOLDER REPORT FOR THE PERIOD ENDING 30TH JUNE, 2005 OMB APPROVAL OMB Number: 3235-0570 Expires: SEPT. 30, 2007 Estimated average burden hours per response: 19.4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CSR CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-01494 - ----------------------------------------------------------------- GENERAL ELECTRIC S&S PROGRAM MUTUAL FUND - ------------------------------------------------------------------ (Exact name of registrant as specified in charter) 3001, SUMMER STREET,STAMFORD, CONNECTICUT, 06905 - ------------------------------------------------------------------- (Address of principal executive offices) (Zip code) GE ASSET MANAGEMENT INC,3001, SUMMER STREET,STAMFORD,CONNECTICUT, 06905 - ------------------------------------------------------------------ (Name and address of agent for service) Registrant"s telephone number, including area code: 800-242-0134 ---------------------------- Date of fiscal year end: December 31, 2005 --------------------------- Date of reporting period: : January 1, 2005 - June 30, 2005 ------------------------- ITEM 1. REPORTS TO STOCKHOLDERS. GE S&S Program Mutual Fund (the "Fund" or "registrant") is an employees' securities company as defined in the Investment Company Act of 1940, as amended ("1940 Act"). The Fund has received an exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. Pursuant to this exemption, the Fund prepares and sends to shareholders only one financial report per year, its audited annual report, which is sent to shareholders within the required time following its fiscal year end. Because the Fund is not required under Section 30 of the 1940 Act to prepare and file a semi-annual financial report for the current period, the Fund has prepared and filed a schedule of holdings for the current period with respect to this report on Form N-Q. Item 2. CODE OF ETHICS. Applicable only to an annual filing. Item 3. AUDIT COMMITTEE FINANCIAL EXPERT. Applicable only to an annual filing. Item 4. PRINCIPAL ACCOUNTANT FEES AND SERVICES. Applicable only to an annual filing. Item 5. AUDIT COMMITTEE OF LISTED REGISTRANTS. Applicable only to an annual filing. Item 6. SCHEDULE OF INVESTMENTS. Not applicable. See Item 1. ITEM 7. DISCLOSURE OF PROXY VOTING POLICIES AND PROCEDURES FOR CLOSED-END MANAGEMENT INVESTMENT COMPANIES. Applicable only to Closed-End Management Investment Companies. ITEM 8. Purchases of Equity Securities by Closed-End Management Investment Company and Affiliated Purchasers. Applicable only to Closed-End Management Investment Companies. ITEM 9. Submission of Matters to a Vote of Security Holders. No material changes. ITEM 10. CONTROLS AND PROCEDURES. The officers providing the certifications in this report in accordance with Rule 30a-3 under the Investment Company Act of 1940 have concluded, based on their evaluation of the registrant's disclosure controls and procedures (as such term is defined in such rule), that such controls and procedures are adequate and reasonably designed to achieve the purpose described in paragraph (c) of such rule. There were no significant changes in the registrant's internal controls or in other factors that could significantly affect these controls subsequent to the date of their last evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. ITEM 11. EXHIBITS. (a) Not applicable. (b) Attached hereto as Exhibit 1 and Exhibit 2 are the Certifications of Michael J. Cosgrove and Robert Herlihy as principal executive officer and principal financial officer, respectively, as required by Rule 30a-2 under the Investment Company Act of 1940. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized. GE S&S Program Mutual Fund By: /S/John H. Myers John H. Myers TRUSTEE, PRESIDENT AND CHIEF EXECUTIVE OFFICER, GE ASSET MANAGEMENT INCORPORATED Date: August 31, 2005 Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. By: /S/John H. Myers John H. Myers TRUSTEE, PRESIDENT AND CHIEF EXECUTIVE OFFICER, GE ASSET MANAGEMENT INCORPORATED Date: August 31, 2005 By: /S/ROBERT HERLIHY Robert Herlihy TREASURER, S&S FUNDS Date: August 31, 2005 EXHIBIT INDEX (b)(1) Certifications of principal executive officer and principal financial officer as required by Rule 30a-2 under the Investment Company Act of 1940. (b)(2) Certification of principal executive officer and principal financial officer as required by Section 906 of the Sarbanes-Oxley Act of 2002. EX-99.CERT 2 ssprgmcsr302cert.txt CERTIFICATIONS PURSUANT TO SECTION 302 SECTION 302 CERTIFICATIONS CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John H. Myers, certify that: 1. I have reviewed this report on Form N-CSR of GE S&S Program Mutual Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Item 3 of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a. Designed such disclosure controls and procedures or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b. Item 4(b) of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. c. Item 4(c) of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. d. Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the most recent fiscal half-year that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officers and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a. All significant deficiencies and material weaknesses in the design or operation of internal controls over financial reporting which are reasonably, likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b. Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls over financial reporting. Date: August 31, 2005 John H. Myers Trustee, President and Chief Executive Officer GE Asset Management Incorporated. SECTION 302 CERTIFICATIONS CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER I, Robert Herlihy, certify that: 1. I have reviewed this report on Form N-CSR of GE S&S Program Mutual Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Item 3 of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a. Designed such disclosure controls and procedures or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b. Item 4(b) of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. c. Item 4(c) of this Certification not applicable pursuant to the Fund's exemption from various provisions of the 1940 Act, including Section 30 and the rules there under. See Item 1 of this Form N-CSR for further details. d. Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the most recent fiscal half-year that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officers and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a. All significant deficiencies and material weaknesses in the design or operation of internal controls over financial reporting which are reasonably, likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b. Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls over financial reporting. Date: August 31, 2005 Robert Herlihy Treasurer, S&S Funds EX-99.906 CERT 3 ssprgmcsr906cert.txt CERTIFICATIONS PURSUANT TO SECTION 906 Exhibit (b)(2) SECTION 906 CERTIFICATIONS In connection with this report on Form N-CSR for the Registrant as furnished to the Securities and Exchange Commission on the date hereof (the "Report"), the undersigned hereby certify, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that: (1) the Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as applicable; and (2) the information contained in the Report fairly presents, in all material respects, the financial condition and the results of operations of the Registrant. By: John H. Myers Trustee, President and Chief Executive Officer GE Asset Management Incorporated Date: August 31, 2005 By: Robert Herlihy Treasurer, S&S Funds Date: August 31, 2005 [A signed original of this written statement required by Section 906 has been provided to the Registrant and will be retained by the Registrant and furnished to the Securities and Exchange Commission or its staff upon request.] -----END PRIVACY-ENHANCED MESSAGE-----