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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 | 0.00 | 01:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Electrical Machy, Equip, Nec | 69.54B | 9.19B | 8.4404 | 19.27 | 176.98B |
TIDMGEC
RNS Number : 9962A
General Electric Company
02 October 2020
SEC Form 4
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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)
10/01/2020
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) 10/01/2020 A 11,328 (3) (3) Stock 11,328 $ 6.29 183,773 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of James S. Tisch 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 7,870 (3) (3) Stock 7,870 $ 6.29 85,292 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Leslie F. Seidman 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 8,466 (3) (3) Stock 8,466 $ 6.29 45,799 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Paula Rosput Reynolds 10/01/2020
** 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)
10/01/2020
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 32,131,316 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) 10/01/2020 A 7,155 (5) (5) Stock 7,155 $ 6.29 59,072 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
SPV (Sub) X, L.P. ("Trian SPV X") and as such determines the investment and voting decisions
of Trian SPV X with respect to the shares of the Issuer held by Trian SPV X. 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 and
on behalf of Trian SPV X. 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 Trian SPV X.
2. (FN 1, contd.) The Reporting Persons disclaim beneficial ownership of such shares except
to the extent of its 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 $6.29 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 L. Sayetta, Attorney-In-Fact for Edward P. Garden 10/01/2020
Stacey L. Sayetta, Attorney-In-Fact for Trian Fund Management, L.P. 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 7,274 (3) (3) Stock 7,274 $ 6.29 69,944 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Risa J. Lavizzo-Mourey 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 7,632 (3) (3) Stock 7,632 $ 6.29 36,775 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Catherine A. Lesjak 10/01/2020 ** 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)
10/01/2020
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) 10/01/2020 A 8,586 (3) (3) Stock 8,586 $ 6.29 60,544 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Thomas W. Horton 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 13,316 (3) (3) Stock 13,316 $ 6.29 153,550 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Francisco D'Souza 10/01/2020
** 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)
10/01/2020
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) 10/01/2020 A 7,393 (3) (3) Stock 7,393 $ 6.29 10,359 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Ashton B. Carter 10/01/2020
** 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 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)
10/01/2020
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) 10/01/2020 A 12,322 (3) (3) Stock 12,322 $ 6.29 113,503 D
Explanation of Responses:
1. Acquired at a price of $6.29 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.
Brandon Smith on behalf of Sebastien M. Bazin 10/01/2020
** 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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October 02, 2020 09:07 ET (13:07 GMT)
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