Share Name Share Symbol Market Type Share ISIN Share Description
Gen.Electric LSE:GEC London Ordinary Share COM STK USD0.06
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  +0.00 € +0.00% 11.95 € 0.00 € 0.00 € - - - 0 05:00:01
Industry Sector Turnover (m) Profit (m) EPS - Basic PE Ratio Market Cap (m)
Unknown - - - - 122,943.58

General Electric Company Director/PDMR Shareholding

04/07/2018 7:00am

UK Regulatory (RNS & others)


TIDMGEC

RNS Number : 5053T

General Electric Company

03 July 2018

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) TISCH JAMES S                      2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 5,825                                 (3)            (3)          Stock     5,825        $13.52          103,621             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of James Tisch 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) Seidman Leslie                     2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 6,287                                 (3)            (3)          Stock     6,287        $13.52           6,287              D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Leslie F. Seidman 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) MULVA JAMES J                      2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 6,287                                 (3)            (3)          Stock     6,287        $13.52          166,568             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of James Mulva 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) LAVIZZO-MOUREY RISA J              2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 4,586                                 (3)            (3)          Stock     4,586        $13.52           15,320             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Risa Lavizzo-Mourey 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) HORTON THOMAS W                    2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 3,550                                 (3)            (3)          Stock     3,550        $13.52           3,550              D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Thomas W. Horton 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) DSOUZA FRANCISCO                   2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 5,825                                 (3)            (3)          Stock     5,825        $13.52           66,038             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Francisco D'Souza 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) CULP H LAWRENCE JR                 2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 6,102                                 (3)            (3)          Stock     6,102        $13.52           6,102              D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of H. Lawrence Culp, Jr. 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) Brennan John Joseph                2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 7,119                                 (3)            (3)          Stock     7,119        $13.52           91,510             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of John Brennan 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) Beattie William G                  2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 6,195                                 (3)            (3)          Stock     6,195        $13.52          145,306             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Geoffrey Beattie 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                     UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                      OMB APPROVAL 
                                                                                                        Washington, D.C. 20549                                                                                    OMB Number:            3235-0287 
                                                                                                                                                                                                                       Estimated average burden 
                                                                                             STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                        or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) Bazin Sebastien M                  2. Issuer Name and Ticker or Trading Symbol                                                     5. Relationship of Reporting Person(s) 
                                                                                GENERAL ELECTRIC CO [ GE ]                                                                      to Issuer 
   (Last)    (First)   (Middle)                                                                                                                                                 (Check all applicable) X   Director          10% Owner 
   GENERAL ELECTRIC COMPANY                                                                                                                                                          Officer (give     Other (specify 
   41 FARNSWORTH STREET                                                                                                                                                               title below)      below) 
 
 
  (Street) BOSTON    MA    02210 
 
   (City)   (State)   (Zip) 
                                                                               3. Date of Earliest Transaction (Month/Day/Year) 
                                                                                07/02/2018 
                                                                              ---------------------------------------------------------------------------------------------- 
                                                                               4. 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 Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction     2A. Deemed         3. Transaction          4. Securities Acquired      5. Amount of     6. Ownership              7. Nature 
                                                                                     Date               Execution           Code (Instr.            (A) or Disposed Of (D)     Securities        Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)   Date,               8)                      (Instr. 3, 4 and 5)        Beneficially      (D) or Indirect           Beneficial 
                                                                                                        if any                                                                 Owned             (I) (Instr.               Ownership 
                                                                                                        (Month/Day/Year)                                                       Following         4)                        (Instr. 
                                                                                                                                                                               Reported                                    4) 
                                                                                                                                                                               Transaction(s) 
                                                                                                                                                                               (Instr. 3 and 
                                                                                                                                                                               4) 
                                                                                    -----------------  -----------------  ----------------------  --------------------------  ---------------  ------------------------  ------------------------------------------ 
                                                                                                                           Code      V             Amount       (A)   Price 
                                                                                                                                                                or 
                                                                                                                                                                (D) 
                                                                                    -----------------  -----------------  --------  ------------  -----------  ----  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
                                                                                           Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                   (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                          6. Date Exercisable            7. Title and         8. Price         9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                            and Expiration                Amount                of Derivative   of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                            Date (Month/Day/Year)         of Securities         Security        Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                        Underlying            (Instr.         Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                         Derivative            5)              Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                      Security                              Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                         (Instr. 3 and 4)                      Reported          4) 
                Security                                                                                                                                                                        Transaction(s) 
                                                                                                                                                                                                (Instr. 
                                                                                                                                                                                                4) 
               -----------  -------------------  -----------------  --------------  ------------------------------------  -----------------------------  -------------------  ---------------  ---------------  --------------  ----------------------------------- 
                                                                                                                                                                      Amount 
                                                                                                                                                                      or 
                                                                                                                                                                      Number 
                                                                                                                           Date            Expiration                 of 
                                                                     Code      V     (A)                (D)                 Exercisable     Date          Title       Shares 
               -----------  ----------  -------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  -------  -----  ----------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                    Common 
  Units(1)         (2)           07/02/2018                             A                 5,825                                 (3)            (3)          Stock     5,825        $13.52           31,146             D 
               -----------  -------------------  -----------------  --------  ----  -----------------  -----------------  --------------  -------------  ----------  -------  ---------------  ---------------  --------------  ----------------------------------- 
 Explanation of Responses: 
 1. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 2. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 3. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                Brian Sandstrom on behalf       07/03/2018 
                                                                                                                                                                 of Sebastien Bazin 
                                                                                                                                                                ** Signature of Reporting       Date 
                                                                                                                                                                 Person 
 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 4 (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. 
 
 

SEC Form 4

 
                FORM 4                                                                       UNITED STATES SECURITIES AND EXCHANGE COMMISSION                                                                                       OMB APPROVAL 
                                                                                                           Washington, D.C. 20549                                                                                     OMB Number:            3235-0287 
                                                                                                                                                                                                                          Estimated average burden 
                                                                                                STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP                                                                          hours per response:          0.5 
 
                                                                                   Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 
                                                                                           or Section 30(h) of the Investment Company Act of 1940 
               Check this 
                box if no longer 
                subject to 
                Section 16. 
                Form 4 or Form 
                5 obligations 
                may continue. 
                See Instruction 
                1(b). 
 1. Name and Address of Reporting Person(*) GARDEN EDWARD P                   2. Issuer Name and Ticker or Trading Symbol                                                       5. Relationship of Reporting Person(s) 
                                                                               GENERAL ELECTRIC CO [ GE ]                                                                        to Issuer 
   (Last)     (First)    (Middle)                                                                                                                                                (Check all applicable) X   Director          10% Owner 
   280 PARK AVENUE, 41ST FLOOR                                                                                                                                                        Officer (give     Other (specify 
                                                                                                                                                                                       title below)      below) 
 
 
  (Street) NEW YORK    NY    10017 
 
   (City)   (State)   (Zip) 
                                                                              3. Date of Earliest Transaction (Month/Day/Year) 
                                                                               07/02/2018 
                                                                             ------------------------------------------------------------------------------------------------ 
                                                                              4. If Amendment, Date of Original Filed (Month/Day/Year)                                          6. Individual or Joint/Group Filing 
                                                                                                                                                                                 (Check Applicable Line)     Form filed by One Reporting Person 
                                                                                                                                                                                  X   Form filed by More than One Reporting 
                                                                                                                                                                                       Person 
                                                                             ------------------------------------------------------------------------------------------------  -------------------------------------------------------------------------------------- 
                                                                                           Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 
 1. Title of Security (Instr. 3)                                                     2. Transaction       2A. Deemed         3. Transaction          4. Securities Acquired     5. Amount of         6. Ownership              7. Nature 
                                                                                     Date                 Execution           Code (Instr.            (A) or Disposed Of (D)    Securities            Form: Direct              of Indirect 
                                                                                     (Month/Day/Year)     Date,               8)                      (Instr. 3, 4 and 5)       Beneficially          (D) or Indirect           Beneficial 
                                                                                                          if any                                                                Owned Following       (I) (Instr.               Ownership 
                                                                                                          (Month/Day/Year)                                                      Reported              4)                        (Instr. 
                                                                                                                                                                                Transaction(s)                                  4) 
                                                                                                                                                                                (Instr. 3 and 
                                                                                                                                                                                4) 
                                                                                    -------------------  -----------------  ----------------------  -------------------------  -------------------  ------------------------  --------------------------------------- 
                                                                                                                             Code      V             Amount       (A)   Price 
                                                                                                                                                                  or 
                                                                                                                                                                  (D) 
                                                                                    -----------  ------  -----------------  --------  ------------  -----------  ----  ------  ------  -----------  ---------------  -------  -----  -------------------------------- 
 Common stock, par value $0.06 per share                                                                                                                                            70,851,055                  I              Please see 
                                                                                                                                                                                                                                explanation 
                                                                                                                                                                                                                                below(1)(2) 
                                                                                    -------------------  -----------------  --------  ------------  -----------  ----  ------  -------------------  ------------------------  --------------------------------------- 
                                                                                            Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                                                    (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of    2.           3. Transaction       3A. Deemed         4.              5. Number of                            6. Date Exercisable            7. Title and Amount         8. Price     9. Number        10. Ownership   11. Nature 
 Derivative     Conversion    Date                Execution          Transaction      Derivative                              and Expiration                 of Securities Underlying   of           of derivative     Form:           of Indirect 
 Security       or            (Month/Day/Year)    Date,              Code (Instr.     Securities                              Date (Month/Day/Year)          Derivative Security        Derivative   Securities        Direct          Beneficial 
 (Instr.        Exercise                          if any             8)               Acquired (A)                                                           (Instr. 3 and 4)           Security     Beneficially      (D) or          Ownership 
 3)             Price                             (Month/Day/Year)                    or Disposed                                                                                       (Instr.      Owned             Indirect        (Instr. 
                of                                                                    of (D) (Instr.                                                                                    5)           Following         (I) (Instr.     4) 
                Derivative                                                            3, 4 and 5)                                                                                                    Reported          4) 
                Security                                                                                                                                                                             Transaction(s) 
                                                                                                                                                                                                     (Instr. 
                                                                                                                                                                                                     4) 
               -----------  -------------------  -----------------  --------------  --------------------------------------  -----------------------------  --------------------------  -----------  ---------------  --------------  -------------------------------- 
                                                                                                                                                                        Amount 
                                                                                                                             Date            Expiration                  or Number 
                                                                     Code     V      (A)                  (D)                 Exercisable     Date          Title        of Shares 
               -----------  ----------  -------  -----------------  -------  -----  -------------------  -----------------  --------------  -------------  ----------  --------------  -----------  ---------------  -------  -----  -------------------------------- 
 Deferred Fee 
  Phantom 
  Stock                                                                                                                                                      Common 
  Units(3)         (4)           07/02/2018                            A                   3,661                                  (5)            (5)          Stock         3,661         $13.52         10,075             D 
               -----------  -------------------  -----------------  -------  -----  -------------------  -----------------  --------------  -------------  ----------  --------------  -----------  ---------------  --------------  -------------------------------- 
 1. Name and Address of Reporting Person(*) GARDEN EDWARD P 
 
   (Last)     (First)    (Middle) 
   280 PARK AVENUE, 41ST FLOOR 
 
 
 
  (Street) NEW YORK    NY    10017 
 
   (City)   (State)   (Zip) 
 1. Name and Address of Reporting Person(*) TRIAN FUND MANAGEMENT, L.P. 
 
   (Last)     (First)    (Middle) 
   280 PARK AVENUE, 41ST FLOOR 
 
 
 
  (Street) NEW YORK    NY    10017 
 
   (City)   (State)   (Zip) 
 Explanation of Responses: 
 1. Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners 
 Master Fund, L.P., Trian Partners Master Fund (ERISA), L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic 
 Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, 
 L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic 
 Fund G-III, L.P., Trian Partners Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) X, L.P., Trian Partners Strategic 
 Fund-K, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the 
 investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them. 
 2. (FN 1, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, 
 and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the 
 Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term 
 is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. 
 The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests 
 therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities 
 for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer. 
 3. Acquired at a price of $13.52 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning 
  one year after termination of service as a director. 
 4. Each unit of phantom stock is the economic equivalent of one share of common stock. 
 5. Payable beginning one year after termination of service as a director. 
 Remarks: 
 
                                                                                                                                                                  Stacey Sayetta, Attorney-In-Fact   07/03/2018 
                                                                                                                                                                   for Edward P. Garden 
                                                                                                                                                                  Stacey Sayetta, Attorney-In-Fact   07/03/2018 
                                                                                                                                                                   for Trian Fund Management, 
                                                                                                                                                                   L.P. 
                                                                                                                                                                  ** Signature of Reporting          Date 
                                                                                                                                                                   Person 
 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 4 (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. 
 
 

This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.

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