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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 | 50 | 01:00:00 |
Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
---|---|---|---|---|---|
Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 19.11 | 175.5B |
TIDMGEC
RNS Number : 0236S
General Electric Company
03 July 2020
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) 07/01/2020 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) 07/01/2020 A 6,620 (3) (3) Stock 6,620 $ 7.25 29,109 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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) 07/01/2020
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) 07/01/2020 A 7,344 (3) (3) Stock 7,344 $ 7.25 37,288 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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 (*)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) 07/01/2020 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 59,286,680 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) 07/01/2020 A 6,206 (5) (5) Stock 6,206 $ 7.25 51,849 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 2, 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 $7.25 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: Stuart I. Rosen, Attorney-In-Fact for Edward P. Garden 07/02/2020 Stuart I. Rosen, Attorney-In-Fact for Trian Fund Management, L.P. 07/02/2020 ** 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) 07/01/2020 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) 07/01/2020 A 6,827 (3) (3) Stock 6,827 $ 7.25 77,317 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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) 07/01/2020 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) 07/01/2020 A 9,827 (3) (3) Stock 9,827 $ 7.25 172,202 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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 (*)Bazin Sebastien M 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) 07/01/2020 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) 07/01/2020 A 10,689 (3) (3) Stock 10,689 $ 7.25 101,047 D Explanation of Responses: 1. Acquired at a price of $7.25 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 Sebastien Bazin 07/02/2020 ** 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 (*)Carter Ashton B 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) 07/01/2020 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) 07/01/2020 A 2,845 (3) (3) Stock 2,845 $ 7.25 2,845 D Explanation of Responses: 1. Acquired at a price of $7.25 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 Ashton Carter 07/02/2020 ** 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) 07/01/2020 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) 07/01/2020 A 11,551 (3) (3) Stock 11,551 $ 7.25 140,043 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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) 07/01/2020 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) 07/01/2020 A 7,448 (3) (3) Stock 7,448 $ 7.25 51,892 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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) 07/01/2020 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) 07/01/2020 A 6,310 (3) (3) Stock 6,310 $ 7.25 62,586 D Explanation of Responses: 1. Acquired at a price of $7.25 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 07/02/2020 ** 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.
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