General Electric Company Director/PDMR Shareholding

RNS Number : 6740K

General Electric Company

15 April 2024

 

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5

1. Name and Address of Reporting Person* Procacci Riccardo (Last) (First) (Middle) GE AEROSPACE 1 NEUMANN WAY (Street) EVENDALE OH 45215 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 04/05/2024	3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Senior Vice President	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	13,536	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	(1)	09/05/2024	Common Stock	6,073(2)	128.97(2)	D
Employee Stock Option (right to buy)	(1)	09/11/2025	Common Stock	5,061(2)	123.31(2)	D
Employee Stock Option (right to buy)	(1)	09/30/2026	Common Stock	1,517(2)	146.33(2)	D
Employee Stock Option (right to buy)	(1)	11/17/2027	Common Stock	8,095(2)	90.01(2)	D
Employee Stock Option (right to buy)	(1)	03/19/2028	Common Stock	5,061(2)	69.55(2)	D
Employee Stock Option (right to buy)	(1)	03/19/2029	Common Stock	4,383(2)	52.38(2)	D
Employee Stock Option (right to buy)	(1)	03/02/2030	Common Stock	10,602(2)	57.62(2)	D
Restricted Stock Units	(3)	(3)	Common Stock	10,779(2)	(4)	D
Restricted Stock Units	(5)	(5)	Common Stock	5,020(2)	(4)	D
Restricted Stock Units	(6)	(6)	Common Stock	30,690(2)	(4)	D
Restricted Stock Units	(7)	(7)	Common Stock	5,754(2)	(4)	D

Explanation of Responses:

1. The Employee Stock Options are fully exercisable.

2. Reflects adjustments made to this award in connection with the spin-off of GE Vernova Inc.

3. The Restricted Stock Units were granted on August 3, 2020, and vest in two equal installments of 50% each, on the third and fourth anniversary of the grant date.

4. Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock.

5. The Restricted Stock Units were granted on March 1, 2022, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

6. The Restricted Stock Units were granted on March 1, 2023, and vest in two equal installments of 50% each, on the third and fourth anniversary of the grant date.

7. The Restricted Stock Units were granted on March 1, 2023, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

Remarks:

	/s/ Brandon Smith, attorney in fact for Riccardo Procacci	04/15/2024
	** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

 

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5

1. Name and Address of Reporting Person* Phillips John R, III (Last) (First) (Middle) GE AEROSPACE 1 NEUMANN WAY (Street) EVENDALE OH 45215 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 04/05/2024	3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Senior Vice President	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	(1)	Common Stock	5,444(2)	(3)	D
Employee Stock Option (right to buy)	(4)	12/01/2033	Common Stock	12,599(2)	96.36(2)	D

Explanation of Responses:

1. The Restricted Stock Units were granted on December 1, 2023, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

2. Reflects adjustments made to this award in connection with the spin-off of GE Vernova Inc.

3. Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock.

4. The Employee Stock Options were granted on December 1, 2023, and will become exercisable in two equal annual installments of 50% each beginning on the second and third anniversary of the grant date.

Remarks:

	/s/ Brandon Smith, attorney in fact for John R Phillips III	04/15/2024
	** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

 

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5

1. Name and Address of Reporting Person* Meisner Christian (Last) (First) (Middle) GE AEROSPACE 1 NEUMANN WAY (Street) EVENDALE OH 45215 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 04/05/2024	3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Senior Vice President	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	(1)	Common Stock	13,611(2)	(3)	D
Employee Stock Option (right to buy)	(4)	12/01/2033	Common Stock	31,499(2)	96.36(2)	D

Explanation of Responses:

1. The Restricted Stock Units were granted on December 1, 2023, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

2. Reflects adjustments made to this award in connection with the spin-off of GE Vernova Inc.

3. Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock.

4. The Employee Stock Options were granted on December 1, 2023, and will become exercisable in two equal annual installments of 50% each, on the second and third anniversary of the grant date.

Remarks:

	/s/ Brandon Smith, attorney in fact for Christian Meisner	04/15/2024
	** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5

1. Name and Address of Reporting Person* Gowder Amy L (Last) (First) (Middle) GE AEROSPACE 1 NEUMANN WAY (Street) EVENDALE OH 45215 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 04/05/2024	3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Senior Vice President	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	(1)	Common Stock	32,782(2)	(3)	D
Restricted Stock Units	(4)	(4)	Common Stock	38,362(2)	(3)	D
Restricted Stock Units	(5)	(5)	Common Stock	5,754(2)	(3)	D

Explanation of Responses:

1. The Restricted Stock Units were granted on June 1, 2022, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

2. Reflects adjustments made to this award in connection with the spin-off of GE Vernova Inc.

3. Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock.

4. The Restricted Stock Units were granted on March 1, 2023, and vest in two equal installments of 50% each, on the third and fourth anniversary of the grant date.

5. The Restricted Stock Units were granted on March 1, 2023, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

Remarks:

	/s/ Brandon Smith, attorney in fact for Amy L. Gowder	04/15/2024
	** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5

1. Name and Address of Reporting Person* Giglietti Robert M. (Last) (First) (Middle) GE AEROSPACE 1 NEUMANN WAY (Street) EVENDALE OH 45215 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 04/05/2024	3. Issuer Name and Ticker or Trading Symbol GENERAL ELECTRIC CO [ GE ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Vice President	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	5,908	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	(1)	09/05/2024	Common Stock	5,667(2)	128.97(2)	D
Employee Stock Option (right to buy)	(1)	09/11/2025	Common Stock	5,061(2)	123.31(2)	D
Employee Stock Option (right to buy)	(1)	09/30/2026	Common Stock	3,035(2)	146.33(2)	D
Employee Stock Option (right to buy)	(1)	12/21/2028	Common Stock	29,264(2)	36.65(2)	D
Employee Stock Option (right to buy)	(1)	03/19/2029	Common Stock	14,796(2)	52.38(2)	D
Employee Stock Option (right to buy)	(1)	04/11/2029	Common Stock	3,559(2)	46.89(2)	D
Employee Stock Option (right to buy)	(1)	03/02/2030	Common Stock	15,796(2)	57.62(2)	D
Restricted Stock Units	(3)	(3)	Common Stock	8,803(2)	(4)	D
Restricted Stock Units	(5)	(5)	Common Stock	2,952	(4)	D
Restricted Stock Units	(6)	(6)	Common Stock	6,906	(4)	D

Explanation of Responses:

1. The Employee Stock Options are fully exercisable.

2. Reflects adjustments made to this award in connection with the spin-off of GE Vernova Inc.

3. The Restricted Stock Units were granted on August 3, 2020, and vest in two equal installments of 50% each, on the third and fourth anniversary of the grant date.

4. Each Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock.

5. The Restricted Stock Units were granted on March 1, 2022, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

6. The Restricted Stock Units were granted on March 1, 2023, and vest in two equal installments of 50% each, on the second and third anniversary of the grant date.

Remarks:

	/s/ Brandon Smith, attorney in fact for Robert M. Giglietti	04/15/2024
	** 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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