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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 | 4,267 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 19.85 | 182.3B |
TIDMGEC
RNS Number : 0602F
General Electric Company
04 March 2020
SEC Form 3
Hot Features
Premium
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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
1. Name and Address of Reporting 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Person(*) Dybeck Happe Carolina Requiring GENERAL ELECTRIC CO [ GE ]
Statement
(Last) (First) (Middle) (Month/Day/Year)
5 NECCO STREET 03/02/2020
(Street) BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) 5. If Amendment, Date of Original Filed (Month/Day/Year)
to Issuer
(Check all applicable) Director 10% Owner
X Officer (give Other (specify
title below) below)
Senior Vice President
------------------------------------------------------------------- ------------------------------------------------------------------------------
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial
Beneficially Owned (Instr. Form: Direct Ownership (Instr. 5)
4) (D) or Indirect
(I) (Instr.
5)
--------------------------------- --------------------------- -----------------------------------------------------
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 2. Date Exercisable 3. Title and Amount of Securities 4. 5. Ownership 6. Nature of Indirect
4) and Expiration Underlying Derivative Security Conversion Form: Direct Beneficial Ownership
Date (Month/Day/Year) (Instr. 4) or Exercise (D) or Indirect (Instr. 5)
Price of (I) (Instr.
Derivative 5)
Security
------------------------------------------- ------------------------------------------------ ------------- ------------------- -----------------------------
Amount
Date Expiration or Number
Exercisable Date Title of Shares
----------------------- ------------------ --------------------------------- ------------- ---------- ------- ---------- -----------------------------
Explanation of Responses:
Remarks:
No securities are beneficially owned.
Julia L. Chen on behalf 03/04/2020
of Carolina Dybeck Happe
** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C.78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6
for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form
displays a currently valid OMB Number.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Carolina Dybeck Happe, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of Attorney
for this purpose.
I am an officer elect of General Electric Company (GE) and, until further
written notice, I hereby individually authorize Christoph Pereira
(GE's Vice President, Chief Risk Officer and Chief Corporate Counsel),
Brian Sandstrom (GE's Executive Corporate, Securities and Finance Counsel)
Brandon Smith (GE's Executive Corporate, Securities and Finance
Counsel), and Julia Chen (GE's Corporate, Securities and Finance
Counsel) to sign on my behalf any Form 3, Form 4, Form 5, Form 144 or
related form that I have filed or may file hereafter in connection with
my direct or indirect beneficial ownership of GE securities, and to
take any other action of any type whatsoever in connection with the
foregoing that in his or her opinion may be for the benefit of, in the best
interest of, or legally required by me.
Signed: /s/ Carolina Dybeck Happe
Name: Carolina Dybeck Happe
Date: February 17, 2020
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(*) Dybeck Happe Carolina 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 Following (I) (Instr. Ownership
(Month/Day/Year) Reported 4) (Instr.
Transaction(s) 4)
(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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 2,061,856 (1) 03/02/2030 Stock 2,061,856 $ 0 2,061,856 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. The Stock Options become exercisable in a single tranche on the fourth anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Carolina Dybeck Happe
** 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(*) Cox L Kevin 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 105,805 I by trust
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
Common Stock 885 I by wife's
trust
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 48,980 (2) (2) Stock 48,980 $ 0 48,980 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 245,232 (2) 03/02/2030 Stock 245,232 $ 0 245,232 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of L Kevin Cox
** 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(*) Dybeck Happe Carolina 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 Following (I) (Instr. Ownership
(Month/Day/Year) Reported 4) (Instr.
Transaction(s) 4)
(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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 81,633 (2) (2) Stock 81,633 $ 0 81,633 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 408,720 (2) 03/02/2030 Stock 408,720 $ 0 408,720 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Carolina Dybeck Happe
** 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(*) Holston Michael 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 Following (I) (Instr. Ownership
(Month/Day/Year) Reported 4) (Instr.
Transaction(s) 4)
(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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 44,898 (2) (2) Stock 44,898 $ 0 44,898 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 224,796 (2) 03/02/2030 Stock 224,796 $ 0 224,796 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Michael Holston
** 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(*) Murphy Kieran Pius 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 113,502 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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 81,633 (2) (2) Stock 81,633 $ 0 81,633 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 408,720 (2) 03/02/2030 Stock 408,720 $ 0 408,720 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Kieran Murphy
** 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(*) Pecresse Jerome 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 73,571 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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 42,449 (2) (2) Stock 42,449 $ 0 42,449 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 212,535 (2) 03/02/2030 Stock 212,535 $ 0 212,535 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Jerome Pecresse
** 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(*) Stokes Russell 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 266,939 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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 57,143 (2) (2) Stock 57,143 $ 0 57,143 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 286,104 (2) 03/02/2030 Stock 286,104 $ 0 286,104 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Russell Stokes
** 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(*) Strazik Scott 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
41 FARNSWORTH STREET title below) below)
Senior Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 46,314 D
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
Common Stock 65,833 I 401(k)
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
Common Stock 41,378 I Spouse's
401(k)
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 54,694 (2) (2) Stock 54,694 $ 0 54,694 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 273,842 (2) 03/02/2030 Stock 273,842 $ 0 273,842 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Scott Strazik
** 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(*) Timko Thomas 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) Director 10% Owner
GENERAL ELECTRIC COMPANY X Officer (give Other (specify
5 NECCO STREET title below) below)
Vice President
(Street) BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2020
---------------------------------------------------------------------------------------------
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 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 10,000 I By trust
----------------- ----------------- -------- ------------ ----------- ---- ------ ------------------- ------------------------ ---------------------------------------
Common Stock 61,343 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 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
----------- ---------- ------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- ------- ----- --------------------------------
Restricted
Stock Common
Units (1) 03/02/2020 A 31,837 (2) (2) Stock 31,837 $ 0 31,837 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Employee
Stock
Option
(right to Common
buy) $ 11.21 03/02/2020 A 141,690 (2) 03/02/2030 Stock 141,690 $ 0 141,690 D
----------- ------------------- ----------------- -------- ---- ----------------- ----------------- -------------- ------------- ---------- -------------- ----------- --------------- -------------- --------------------------------
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest and the Stock Options become exercisable, in two equal installments of 50% each on thesecond and third anniversary of the grant date.
Remarks:
Brian Sandstrom on behalf 03/04/2020
of Thomas S. Timko
** 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
DSHEAADLELXEEAA
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