We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Register to chat with like-minded investors on our interactive forums.
| 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 | 145 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 17.79 | 163.46B |
TIDMGEC
RNS Number : 1392Y
General Electric Company
04 September 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) Director 10% Owner
(*)Strazik Scott Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. 8) or Disposed Of (D) (Instr. Securities Ownership Indirect
Security (Month/Day/Year) if any 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 50,998 D
Stock
Common Stock 66,432 I 401(k)
Common Stock 41,722 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. 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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 771,605 (2) (2) Stock 771,605 $ 0 771,605 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of Scott Strazik 09/04/2020
** 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) Director 10% Owner
(*)Stokes Russell Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 266,939 D
Stock
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 771,605 (2) (2) Stock 771,605 $ 0 771,605 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of Russell Stokes 09/04/2020
** 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) Director 10% Owner
(*)Pecresse Jerome Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 78,664 D
Stock
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 771,605 (2) (2) Stock 771,605 $ 0 771,605 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of Jerome Pecresse 09/04/2020
** 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) Director 10% Owner
(*)Murphy Kieran Pius Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 146,586 D
Stock
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 771,605 (2) (2) Stock 771,605 $ 0 771,605 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of Kieran Murphy 09/04/2020
** 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) Director 10% Owner
(*)Holston Michael J Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 135,580 D
Stock
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 578,704 (2) (2) Stock 578,704 $ 0 578,704 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the second and
third anniversary of the grant date.
Remarks:
Brandon Smith on behalf of Michael Holston 09/04/2020
** 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) Director 10% Owner
(*)Dybeck Happe Carolina Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 Securities Expiration Date of Securities of derivative Ownership of Indirect
Security or (Month/Day/Year) if any 8) Acquired (A) or (Month/Day/Year) Underlying Derivative Securities Form: Beneficial
(Instr. 3) Exercise (Month/Day/Year) Disposed of (D) Derivative Security Security Beneficially Direct Ownership
Price of (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Performance
Stock Units Common
(PSUs) (1) 09/03/2020 A 1,093,920 (2) (2) Stock 1,093,920 $ 0 1,093,920 D
Explanation of Responses:
1. 1 for 1
2. Subject to continued employment conditions and accelerated vesting in certain circumstances,
the PSUs will vest, if at all, based upon the highest average closing price of the company's
stock for any 30 consecutive trading days during the five-year performance period from September
3, 2020 to September 2, 2025: 50% of the PSUs will be eligible to vest upon achieving a stock
price equal to 150% (the "threshold target") of the average of the closing prices of the company's
stock over the period of 30 consecutive trading days up to and including August 18, 2020 (the
"reference stock price"), 100% of the PSUs will be eligible to vest upon achieving a stock
price equal to 200% of the reference stock price and 150% of the PSUs will be eligible to
vest upon achieving a stock price equal to 250% (the "maximum target") of the reference stock
price. No PSUs will be eligible to vest below the threshold target, and the amount of PSUs
eligible to vest between the threshold target and maximum target will be determined by linear
interpolation.
Remarks:
Julia L. Chen on behalf of Carolina Dybeck Happe 09/04/2020
** 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) Director 10% Owner
(*)Cox L Kevin Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 105,805 I by trust
Stock
Common 885 I by wife's
Stock 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. 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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 771,605 (2) (2) Stock 771,605 $ 0 771,605 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of L Kevin Cox 09/04/2020
** 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) Director 10% Owner
(*)Timko Thomas S Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Vice President
(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)
09/03/2020
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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
Common 10,000 I By trust
Stock
Common 61,343 D
Stock
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted
Stock Common
Units (1) 09/03/2020 A 115,741 (2) (2) Stock 115,741 $ 0 115,741 D
Explanation of Responses:
1. 1 for 1
2. The Restricted Stock Units vest in two equal installments of 50% each on the third and
fourth anniversary of the grant date.
Remarks:
Julia L. Chen on behalf of Thomas S. Timko 09/04/2020
** 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) Director 10% Owner
(*)Slattery John S. Trading Symbol X Officer (give title below) Other (specify below)
GENERAL ELECTRIC Senior Vice President
(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)
09/02/2020
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 and (Instr. 3 and 4) (Instr. 5) Owned (D) or (Instr. 4)
Derivative 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
Restricted Common
Stock Units (1) 09/02/2020 A 92,736 (2) (2) Stock 92,736 $ 0 92,736 D
Employee Stock
Option (right Common
to buy) $ 6.44 09/02/2020 A 343,511 (2) 09/02/2030 Stock 343,511 $ 0 343,511 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 March 2, 2022 and March 2, 2023.
Remarks:
Julia L. Chen on behalf of John S. Slattery 09/04/2020
** 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.
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.
RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.
END
DSHEAKNLEFNEEFA
(END) Dow Jones Newswires
September 04, 2020 12:22 ET (16:22 GMT)
1 Year General Electric Chart |
1 Month General Electric Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions
