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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 11/01/2005 |
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ GE ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 | 18,192 | D | |
Common Stock | 10,767 | I | By 401(k) |
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 | ||||
Phantom Stock Units | (1) | (1) | Common Stock | 32,165 | (2) | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 71,250 | (2) | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 31,334 | (2) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 60,000 | (2) | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 25,000 | (2) | D | |
Employee Stock Options (right to buy)(7) | 09/13/1999 | 09/13/2006 | Common Stock | 54,000 | $14.73 | D | |
Employee Stock Options (right to buy)(7) | 09/12/2000 | 09/12/2007 | Common Stock | 30,000 | $22.08 | D | |
Employee Stock Options (right to buy)(7) | 09/11/2001 | 09/11/2008 | Common Stock | 30,000 | $26.42 | D | |
Employee Stock Options (right to buy)(7) | 09/10/2002 | 09/10/2009 | Common Stock | 36,000 | $39.73 | D | |
Employee Stock Options (right to buy)(7) | 09/22/2003 | 09/22/2010 | Common Stock | 35,000 | $57.31 | D | |
Employee Stock Options (right to buy)(7) | 07/26/2004 | 07/26/2011 | Common Stock | 50,000 | $43.75 | D | |
Employee Stock Options (right to buy)(7) | 09/26/2004 | 09/26/2011 | Common Stock | 25,000 | $35.48 | D | |
Employee Stock Options (right to buy)(8) | 09/13/2003 | 09/13/2012 | Common Stock | 70,000 | $27.05 | D | |
Employee Stock Options (right to buy)(8) | 09/12/2004 | 09/12/2013 | Common Stock | 45,000 | $31.53 | D | |
Employee Stock Options (right to buy)(8) | 09/17/2005 | 09/17/2014 | Common Stock | 48,000 | $34.22 | D | |
Employee Stock Options (right to buy)(8) | 09/16/2006 | 09/16/2015 | Common Stock | 48,000 | $34.47 | D |
Explanation of Responses: |
1. Reallocable to other investment media. Payable after termination of employment. |
2. 1-for-1 |
3. 30,000 units granted 7/29/99; 40,000 units granted 7/27/00; 25,000 units granted 9/10/01. Vesting schedule: 25% on the third anniversary; 25% on the seventh anniversary; 50% upon retirement. |
4. 10,000 units granted 9/12/03; 10,667 units granted 9/17/04; 10,667 units granted 9/16/05. Vesting schedule: 50% on third anniversary; 50% on fifth anniversary. |
5. 35,000 units granted 9/12/03; 25,000 units granted 7/29/04. Vesting schedule: 25% on third anniversary; 25% on fifth anniversary; 25% on tenth anniversary and 25% upon retirement. |
6. 25,000 units granted on 7/28/05. Vesting schedule 25% on the third anniversary; 25% on the fifth anniversary; 25% on the seventh anniversary; 25% on the tenth anniversary. |
7. The options become exercisable in two equal installments of 50% each, with 50% on the "Date Exercisable" shown to the right, and another 50% two years thereafter. |
8. The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right and 20% each year thereafter. |
Remarks: |
Eliza W. Fraser on behalf of Mark M. Little | 11/14/2005 | |
** 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. | ||
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. |