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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 | 13,649 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 19.23 | 176.69B |
TIDMGEC
RNS Number : 6652I
General Electric Company
03 April 2020
SEC Form 4
Hot Features
Premium
FORM 4 UNITED STATES SECURITIES AND EXCHANGE OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)GARDEN EDWARD P Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
280 PARK AVENUE, 41ST FLOOR
(Street)NEW YORK NY 10017
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person
Date of Original X Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
Security Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Instr. 3) (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 64,191,203 I Please see
stock, par explanation
value $0.06 below (1)(2)
per share
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 and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (3) (4) 04/01/2020 A 5,754 (5) (5) Stock 5,754 $ 7.82 45,581 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 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 $7.82 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 for Edward P. Garden 04/02/2020
Stacey Sayetta, Attorney-In-Fact for Trian Fund Management, L.P. 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)TISCH JAMES S Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 9,111 (3) (3) Stock 9,111 $ 7.82 162,137 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of James S. Tisch 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)Seidman Leslie Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities Acquired (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) (A) or Disposed of Derivative Security Security Beneficially Direct Ownership
Price of (D) (Instr. 3, 4 (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative and 5) Following Indirect
Security Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 10,550 (3) (3) Stock 10,550 $ 7.82 70,397 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Leslie F. Seidman 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)Reynolds Paula Rosput Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 6,809 (3) (3) Stock 6,809 $ 7.82 29,908 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Paula Rosput Reynolds 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)LESJAK CATHERINE A Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 6,138 (3) (3) Stock 6,138 $ 7.82 22,464 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Catherine A. Lesjak 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)LAVIZZO-MOUREY RISA J Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 5,850 (3) (3) Stock 5,850 $ 7.82 56,198 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Risa Lavizzo-Mourey 04/02/2020 ** Signature of Reporting Person Date 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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)HORTON THOMAS W Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Acquired (A) or Derivative Security Security Beneficially Direct Ownership
Price of Disposed of (D) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative (Instr. 3, 4 and Following Indirect
Security 5) Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 6,905 (3) (3) Stock 6,905 $ 7.82 44,386 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Thomas W. Horton 04/02/2020
** Signature of Reporting Person Date
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 OMB APPROVAL
COMMISSION OMB Number: 3235-0287
Washington, D.C. 20549 Estimated average burden
hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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 2. Issuer Name 5. Relationship of Reporting Person(s) to Issuer
Reporting Person and Ticker or (Check all applicable)X Director 10% Owner
(*)DSOUZA FRANCISCO Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
04/01/2020
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original Form filed by More than One Reporting Person
Filed
(Month/Day/Year)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
3) Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
(Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/Day/Year) Owned Direct Ownership
Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 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. Transaction 5. Number of 6. Date Exercisable and 7. Title and Amount 8. Price 9. Number of 10. 11. Nature
Derivative Conversion Date Execution Date, Code (Instr. Derivative Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Securities Acquired (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) (A) or Disposed of Derivative Security Security Beneficially Direct Ownership
Price of (D) (Instr. 3, 4 (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative and 5) Following Indirect
Security Reported (I)
Transaction(s) (Instr.
(Instr. 4)
4)
Amount or
Date Number of
Code V (A) (D) Exercisable Expiration Date Title Shares
Deferred
Fee
Phantom
Stock Common
Units (1) (2) 04/01/2020 A 10,710 (3) (3) Stock 10,710 $ 7.82 128,309 D
Explanation of Responses:
1. Acquired at a price of $7.82 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 of Francisco D'Souza 04/02/2020
** Signature of Reporting Person Date
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.
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number:
[ ] Check this 3235-0287
box if no longer STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Estimated average
subject to Section burden
16. Form 4 or hours per response...
Form 5 obligations 0.5
may continue.
See Instruction
1(b).
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. Issuer Name and Ticker 5. Relationship of Reporting Person(s) to Issuer
Person (*) or Trading Symbol (Check all applicable)
Bazin Sebastien M GENERAL ELECTRIC CO [ GE __X__ Director _____ 10% Owner
] _____ Officer (give title below) _____ Other (specify
below)
(Last) (First) (Middle) 3. Date of Earliest Transaction
(MM/DD/YYYY)
GENERAL ELECTRIC COMPANY,
5 NECCO STREET 4/1/2020
-------------------------------------------------------------
(Street) 4. If Amendment, Date Original 6. Individual or Joint/Group Filing (Check Applicable
Filed (MM/DD/YYYY) Line)
BOSTON, MA 02210 _X _ Form filed by One Reporting Person
(City) (State) (Zip) ___ Form filed by More than One Reporting Person
------------------------------------------------------------- ---------------------------------------------------------------
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security 2. Trans. 2A. Deemed 3. Trans. 4. Securities 5. Amount of 6. Ownership 7. Nature of Indirect Beneficial
(Instr. 3) Date Execution Code Acquired Securities Beneficially Form: Direct Ownership
Date, (Instr. (A) or Disposed Owned Following (D) or Indirect (Instr. 4)
if any 8) of (D) Reported Transaction(s) (I) (Instr.
(Instr. (Instr. 3 and 4)
3, 4 and 4)
5)
(A)
or
Code V Amount (D) Price
-------- ------ ------- ---- -------
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible
securities)
1. Title 2. 3. Trans. 3A. Deemed 4. Trans. 5. Number 6. Date Exercisable 7. Title 8. Price 9. Number 10. 11. Nature of Indirect
of Conversion Date Execution Code of Derivative and Expiration and Amount of of derivative Ownership Beneficial
Derivate or Date, (Instr. Securities Date of Securities Derivative Securities Form Ownership (Instr. 4)
Security Exercise if any 8) Acquired Underlying Security Beneficially of
(Instr. Price (A) or Derivative (Instr. Owned Derivative
3) of Disposed Security 5) Following Security:
Derivative of (D) (Instr. Reported Direct
Security (Instr. 3 and 4) Transaction(s) (D) or
3, 4 and (Instr. Indirect
5) 4) (I)
(Instr.
4)
Date Expiration Title Amount
Exercisable Date or
Number
of
Code V (A) (D) Shares
---- -------- ------ ------- ------------- ----------- ------ --------
Deferred
Fee
Phantom
Stock
Units Common
(1) (2) 4/1/2020 A 9910 (3) (3) Stock 9910 $7.82 90233 D
---------- ------------- ------------ ---- -------- ------ ------- ------------- ----------- ------ -------- ----------- -------------- ---------- ----------------------
Explanation of Responses:
(1) Acquired at a price of $7.82 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.
Reporting Owners
Reporting Owner Name / Relationships
Address
Director 10% Owner Officer Other
-------- --------- ------- -----
Bazin Sebastien M X
GENERAL ELECTRIC COMPANY
5 NECCO STREET
BOSTON, MA 02210
-------- --------- ------- -----
Signatures
Brian Sandstrom on behalf of Sebastien 4/2/2020
Bazin
-------------------------------------- --------
** Signature of Reporting Person Date
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 control
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
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April 03, 2020 02:00 ET (06:00 GMT)
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