ge3578751-8k.htm - Generated by SEC Publisher for SEC Filing


Washington, D.C. 20549


Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) April 12, 2019

General Electric Company
(Exact name of registrant as specified in its

New York       001-00035       14-0689340
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
41 Farnsworth Street, Boston, MA 02210
(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code (617) 443-3000

(Former name or former address, if changed since last report.)

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:

☐     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐


Item 8.01 Other Events.

On April 12, 2019, General Electric Company (“GE” or the “Company”) reached a definitive agreement with the United States Department of Justice to settle an investigation of potential violations of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (“FIRREA”), which was previously disclosed in the Company’s reports with the Securities and Exchange Commission.

The entry into a definitive agreement follows the announcement of an agreement in principle on January 31, 2019. Under the terms of the agreement, GE, without admitting liability or wrongdoing, will pay the United States a civil penalty of $1.5 billion, consistent with the $1.5 billion reserve recorded for the matter in the first quarter of 2018. The settlement concludes the FIRREA investigation of WMC Mortgage Corporation, LLC and its affiliates arising out of the origination, purchase or sale of residential mortgage loans between January 1, 2005 and December 31, 2007.



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.

General Electric Company
Date: April 12, 2019 /s/ Christoph A. Pereira
Christoph A. Pereira
Vice President, Chief Risk Officer and
Chief Corporate Counsel