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| Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
|---|---|---|---|---|---|
| General Electric Company | LSE:GEC | London | Ordinary Share | COM STK USD0.01 (CDI) |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.00 | 0.00% | 105.00 | 9,827 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 18.44 | 169.42B |
TIDMGEC
RNS Number : 3915A
General Electric Company
28 May 2019
SEC Form 4
Hot Features
Premium
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)
05/23/2019
---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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)
------------------ ------------------ ---------- -------------- ----------- ---- ------- --------------- --------------- ------- ----- ------------------------------------
Common Stock 05/23/2019 P 10,000 A $9.75 25,000 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. Transaction 5. Number of 6. Date Exercisable 7. Title and 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Code (Instr. Derivative and Expiration Amount of Derivative of derivative Form: of Indirect
Security or (Month/Day/Year) Date, 8) Securities Date (Month/Day/Year) of Securities Security Securities Direct Beneficial
(Instr. Exercise if any 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
--------- ------ ------------------ ------------------- ---------------- -------------------------------------------------------------------------------- ---------- ------- --------------- --------------- ------- ----- ------------------------------------
Explanation of Responses:
Remarks:
Brian Sandstrom on behalf 05/28/2019
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(*) 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)
05/22/2019
-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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)
------------ ------- ------------------ ---------- -------------- ------------- ---- ------------ ------ ----------- --------------- ------- ----- ---------------------------------
Please see
explanation
Common stock, par value $0.06 per share 05/22/2019 S(1) 1,289,538 D $10.0244(2) 69,561,517 I below(3)(4)
--------------------- ---------- -------------- ------------- ---- ------------ ------------------- ------------------------ ----------------------------------------
Please see
explanation
Common stock, par value $0.06 per share 05/23/2019 S(1) 2,000,000 D $9.5753(5) 67,561,517 I below(3)(4)
--------------------- ---------- -------------- ------------- ---- ------------ ------------------- ------------------------ ----------------------------------------
Please see
explanation
Common stock, par value $0.06 per share 05/24/2019 S(1) 3,370,314 D $9.5301(6) 64,191,203 I below(3)(4)
--------------------- ---------- -------------- ------------- ---- ------------ ------------------- ------------------------ ----------------------------------------
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. Transaction 5. Number of 6. Date Exercisable 7. Title and Amount 8. Price 9. Number 10. Ownership 11. Nature
Derivative Conversion Date Execution Code (Instr. Derivative and Expiration of Securities Underlying of of derivative Form: of Indirect
Security or (Month/Day/Year) Date, 8) Securities Date (Month/Day/Year) Derivative Security Derivative Securities Direct Beneficial
(Instr. Exercise if any 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
-------- ------- --------------------- ------------------- ---------------- -------------------------------------------------------------------------------- ------------ -------------------- ----------- --------------- ------- ----- ---------------------------------
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. Represents sales made for portfolio management reasons, including the expiration of the applicable lockup period of
a co-investment fund.
2. The price shown in Column 4 is a weighted average sale price. The price range for the sales is $10.00 - $10.105. The
Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer
or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
3. 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.
4. (FN 3, 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.
5. The price shown in Column 4 is a weighted average sale price. The price range for the sales is $9.55 - $9.615. The Reporting
Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security
holder of the Issuer, full information regarding the number of shares purchased at each separate price.
6. The price shown in Column 4 is a weighted average sale price. The price range for the sales is $9.44 - $9.665. The Reporting
Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security
holder of the Issuer, full information regarding the number of shares purchased at each separate price.
Remarks:
Stacey Sayetta, Attorney-In-Fact 05/24/2019
for Edward P. Garden
Stacey Sayetta, Attorney-In-Fact 05/24/2019
for Edward P. Garden, member
of the general partner
of 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.
END
DSHEAESPAANNEAF
(END) Dow Jones Newswires
May 29, 2019 02:00 ET (06:00 GMT)
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