REG - General Elec. - Director/PDMR Shareholding
05/04/2023 14:15
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RNS Number : 5206V General Electric Company 05 April 2023
4
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
GARDEN EDWARD P GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001257864) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
223 SUNSET AVENUE
(Street)
PALM BEACH FL 33480
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
(Last) (First) (Middle)
223 SUNSET AVENUE
(Street)
PALM BEACH FL 33480
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.01 per share 4,016,414 I Please see explanation below((1)(2))
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((3)) ((4)) 03/31/2023 A 495 ((5)) ((5)) Common Stock 495 $91 12,584 D
1. Name and Address of Reporting Person(*)
GARDEN EDWARD P
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001257864)
(Last) (First) (Middle)
223 SUNSET AVENUE
(Street)
PALM BEACH FL 33480
(City) (State) (Zip)
1. Name and Address of Reporting Person(*)
TRIAN FUND MANAGEMENT, L.P.
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001345471)
(Last) (First) (Middle)
280 PARK AVENUE, 41ST FLOOR
(Street)
NEW YORK NY 10017
(City) (State) (Zip)
(Last) (First) (Middle)
223 SUNSET AVENUE
(Street)
PALM BEACH FL 33480
(City) (State) (Zip)
1. Name and Address of Reporting Person(*)
TRIAN FUND MANAGEMENT, L.P.
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001345471)
(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 $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
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:
/s/ Daniel R. Marx, Attorney-In-Fact for Edward P. Garden 04/04/2023
/s/ Daniel R. Marx, Attorney-In-Fact for Trian Fund Management, L.P. 04/04/2023
** 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 COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
Seidman Leslie GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001595268) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 511 ((3)) ((3)) Common Stock 511 $91 16,099 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Leslie Seidman 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Leslie F. Seidman, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
November 8, 2022
Signature:
Leslie F. Seidman
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
Reynolds Paula Rosput GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001179998) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 616 ((3)) ((3)) Common Stock 616 $91 12,291 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Paula Rosput Reynolds 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Paula Rosput Reynolds, hereby appoint GE to assist me in the preparation
and filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
December 6, 2022
Signature:
Paula R Reynolds
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
McDew Darren W GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001787479) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 10 ((3)) ((3)) Common Stock 10 $91 10 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Darren W. McDew 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Darren W. McDew, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of Attorney for this
purpose.
I am a director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid Tsang
and Kira Schwartz, with full power of substitution to each, to sign on my
behalf any Form 3, Form 4, Form 5, Form 144 or related form that I have filed
or may file hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any type
whatsoever in connection with the foregoing that in his or her opinion may be
for the benefit of, in the best interest of, or legally required by me.
Date: 03/28/2023
Signature: Darren W. McDew
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
LESJAK CATHERINE A GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001256992) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 527 ((3)) ((3)) Common Stock 527 $91 10,112 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Catherine A. Lesjak 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Catherine Lesjak, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
December 3, 2022
Signature:
Catherine Lesjak
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
HORTON THOMAS W GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001175928) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 552 ((3)) ((3)) Common Stock 552 $91 13,709 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Thomas W. Horton 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Thomas Warren Horton, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
November 11, 2022
Signature:
Thomas W Horton
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
Goren Isabella D GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001497483) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 511 ((3)) ((3)) Common Stock 511 $91 2,489 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Isabella D. Goren 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Isabella Goren, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of Attorney
for this purpose.
I am of General Electric Company (GE) and, until further written notice, I
hereby individually authorize each of Brandon Smith, Astrid Tsang and
Kira Schwartz, with full power of substitution to each, to sign on my behalf
any Form 3, Form 4, Form 5, Form 144 or related form that I have
filed or may file hereafter in connection with my direct or indirect
beneficial ownership of GE securities, and to take any other action of any
type
whatsoever in connection with the foregoing that in his or her opinion may be
for the benefit of, in the best interest of, or legally required by me.
Date:
11/14/2022
Signature:
Isabella Goren
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
DSOUZA FRANCISCO GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001231715) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 920 ((3)) ((3)) Common Stock 920 $91 28,924 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Francisco D'Souza 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Francisco D'Souza, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
nov 27
Signature:
Francisco D'Souza
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
Bazin Sebastien GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001671730) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 852 ((3)) ((3)) Common Stock 852 $91 23,157 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Sebastien Bazin 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Sbastien M. Bazin, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of
Attorney for this purpose.
I am Director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid
Tsang and Kira Schwartz, with full power of substitution to each, to sign on
my behalf any Form 3, Form 4, Form 5, Form 144 or related form
that I have filed or may file hereafter in connection with my direct or
indirect beneficial ownership of GE securities, and to take any other action
of any type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or legally
required by me.
Date:
08/12/2022
Signature:
Sbastien Bazin
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0287
Estimated average burden
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: 0.5
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).
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 Reporting Person(*) 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
ANGEL STEPHEN F GENERAL ELECTRIC CO
(Check all applicable)
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001190775) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
X Director 10% Owner
GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2023
4. 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 Acquired, Disposed of, or Beneficially
Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
(Instr. 3 and 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 8. Price of Derivative Security (Instr. 5) 9. Number of derivative 10. Ownership Form: Direct (D) or Indirect (I) 11. Nature of Indirect Beneficial Ownership
Security (Month/Day/Year) 4 and 5) 4) Securities Beneficially Owned (Instr. 4) (Instr. 4)
Following Reported
Transaction(s) (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Deferred Fee Phantom Stock Units((1)) ((2)) 03/31/2023 A 824 ((3)) ((3)) Common Stock 824 $91 3,965 D
Explanation of Responses:
1. Acquired at a price of $91.00 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
2. Each unit of phantom stock is the economic equivalent of one share of the
issuer's common stock.
3. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Brandon Smith, attorney in fact for Stephen F. Angel 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Stephen Angel, hereby appoint GE to assist me in the preparation and filing
of Section 16 reports, and execute the below Power of Attorney
for this purpose.
I am of General Electric Company (GE) and, until further written notice, I
hereby individually authorize each of Brandon Smith, Astrid Tsang and
Kira Schwartz, with full power of substitution to each, to sign on my behalf
any Form 3, Form 4, Form 5, Form 144 or related form that I have
filed or may file hereafter in connection with my direct or indirect
beneficial ownership of GE securities, and to take any other action of any
type
whatsoever in connection with the foregoing that in his or her opinion may be
for the benefit of, in the best interest of, or legally required by me.
Date:
November 29, 2022
Signature:
Stephen F. Angel
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person(*) 2. Date of Event Requiring Statement (Month/Day/Year) 3. Issuer Name and Ticker or Trading Symbol
McDew Darren W 03/30/2023 GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0001787479) (file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) to Issuer 5. If Amendment, Date of Original Filed (Month/Day/Year)
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)
BOSTON MA 02210
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/30/2023
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(file:///C%3A/cgi-bin/browse-edgar%3faction=getcompany&CIK=0000040545) [
GE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
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 0 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
Explanation of Responses:
Remarks:
Exhibit 24.1 - Power of Attorney
/s/ Brandon Smith, attorney in fact for Darren W. McDew 04/04/2023
** 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.
Limited Power of Attorney for Section 16 Reporting Obligations.
I, Darren W. McDew, hereby appoint GE to assist me in the preparation and
filing of Section 16 reports, and execute the below Power of Attorney for this
purpose.
I am a director of General Electric Company (GE) and, until further written
notice, I hereby individually authorize each of Brandon Smith, Astrid Tsang
and Kira Schwartz, with full power of substitution to each, to sign on my
behalf any Form 3, Form 4, Form 5, Form 144 or related form that I have filed
or may file hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any type
whatsoever in connection with the foregoing that in his or her opinion may be
for the benefit of, in the best interest of, or legally required by me.
Date: 03/28/2023
Signature: Darren W. McDew
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