Attached files
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| EX-99.2 - GENERAL ELECTRIC CO | ex99_2.htm |
| EX-99.1 - GENERAL ELECTRIC CO | ex99_1.htm |
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of The Securities Exchange Act of 1934
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Date
of Report (Date of earliest event reported) October 16,
2009
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General
Electric Company
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(Exact
name of registrant as specified in its charter)
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New
York
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001-00035
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14-0689340
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(State
or other jurisdiction
of
incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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3135
Easton Turnpike, Fairfield, Connecticut
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06828-0001
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code (203) 373-2211
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(Former
name or former address, if changed since last
report.)
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Check
the appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions (see General Instructions A.2. below):
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¨
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
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¨
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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¨
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
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¨
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
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(1)
Item
2.02. Results of Operations and Financial Condition.
On
October 16, 2009, General Electric Company (the “Company”) issued a press
release setting forth GE’s third-quarter 2009 earnings. A copy of GE’s press
release is attached hereto as Exhibit 99.1 and hereby incorporated by
reference.
The
information furnished pursuant to this Item 2.02, including Exhibit 99.1, shall
not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act
of 1934 (the “Exchange Act”) or otherwise subject to the liabilities under that
Section and shall not be deemed to be incorporated by reference into any filing
of the Company under the Securities Act of 1933 or the Exchange
Act.
Item
5.04 Temporary Suspension of Trading Under Registrant’s Employee Benefit
Plans.
On
October 16, 2009, the Company received a notice required by Section 101(i)(2)(E)
of the Employee Retirement Income Security Act of 1974, as amended, regarding a
blackout period under the GE Savings & Security Program (the “S&SP”).
The purpose of the blackout period is to allow the Company to transfer
recordkeeping and certain other administrative services of the S&SP to
Fidelity Investments®.
The
blackout period will be in effect beginning at 4:00 p.m. Eastern Time on
November 30, 2009 and is expected to end on December 7, 2009 (or possibly later
that week). During the blackout period, S&SP participants will be
temporarily unable to direct or diversify investments in their individual
accounts; obtain loans, withdrawals, or distributions from the S&SP; or view
account information. Notice of the applicable blackout period was sent to all
participants and beneficiaries under the S&SP.
Because
the S&SP includes GE common stock as an investment option, on October 16,
2009, in accordance with Section 306 of the Sarbanes-Oxley Act of 2002 and Rule
104 of Regulation BTR, the Company sent a separate notice (the “Insider Notice”)
to its directors and executive officers informing them that during the blackout
period they would generally be prohibited from directly or indirectly
purchasing, selling, or otherwise acquiring or transferring, GE common stock or
any other equity security or derivative security of GE acquired in connection
with their employment as an officer or service as a director. A copy of the
Insider Notice is attached hereto as Exhibit 99.2 and hereby incorporated by
reference.
During
the blackout period and for two years after the ending date of the blackout
period, a stockholder or other interested person may obtain, without charge,
information regarding the actual ending date of the blackout period by
contacting Michael McAlevey at General Electric Company, 3135 Easton Turnpike,
Fairfield, Connecticut 06828-0001, or by phone at (203) 373-2211.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits
The
following exhibits are being filed as part of this report:
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99.1
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Press
release, dated: October 16, 2009, issued by General Electric
Company
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99.2
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Notice
to Directors and Executive Officers of General Electric Company: Blackout
Period for Transactions in GE Securities, dated October 16,
2009.
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(2)
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has
duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
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General
Electric Company
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(Registrant)
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Date:
October 16, 2009
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/s/
Jamie S. Miller
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Jamie
S. Miller
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Vice
President and Controller
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(3)