REG - General Elec. - Director/PDMR Shareholding
04/10/2023 07:15
For best results when printing this announcement, please click on link below:
http://newsfile.refinitiv.com/getnewsfile/v1/story?guid=urn:newsml:reuters.com:20231004:nRSD5934Oa&default-theme=true
RNS Number : 5934O General Electric Company 04 October 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)
(http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=getcompany&CIK=0001257864) (http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(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
(http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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))
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((2)) ((3)) 09/29/2023 A 397 ((4)) ((4)) Common Stock 397 $113.23 13,426 D
1. Name and Address of Reporting Person(*)
GARDEN EDWARD P
(http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=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.
(http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=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.
(http://www.sec.gov/Archives/edgar/data/40545/000120919123051550/cgi-bin/browse-edgar?action=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 Senior Advisor to Trian
Management, and a limited partner of an affiliate of Trian SPV X, and as such
has an indirect interest in the shares of the Issuer held by Trian SPV X. The
Reporting Persons disclaim beneficial ownership of such shares except to the
extent of their respective pecuniary interests therein and this report shall
not be deemed an admission that the Reporting Persons are the beneficial owner
of such securities for purposes of Section 16 or for any other purpose. Mr.
Garden is a director of the Issuer.
2. Acquired at a price of $113.23 per unit pursuant to the terms of the 2022
Long-Term Incentive Plan.
3. Each unit of phantom stock is the economic equivalent of one share of the
Issuer's common stock.
4. Payable beginning one year after termination of service as a director.
Remarks:
/s/ Daniel R. Marx, Attorney-In-Fact for Edward P. Garden 10/03/2023
/s/ Peter W. May, member of the general partner of Trian Fund Management, L.P. 10/03/2023
** 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
UHL JESSICA R. GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000235/cgi-bin/browse-edgar?action=getcompany&CIK=0001860611) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000235/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000235/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 411 ((3)) ((3)) Common Stock 411 $113.23 696 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 Jessica Uhl 10/03/2023
** 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
Reynolds Paula Rosput GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0001179998) (/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
X Director 10% Owner
Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 424 ((3)) ((3)) Common Stock 424 $113.23 13,188 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
McDew Darren W GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000231/cgi-bin/browse-edgar?action=getcompany&CIK=0001787479) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000231/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000231/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 378 ((3)) ((3)) Common Stock 378 $113.23 793 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
LESJAK CATHERINE A GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000229/cgi-bin/browse-edgar?action=getcompany&CIK=0001256992) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000229/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000229/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 424 ((3)) ((3)) Common Stock 424 $113.23 11,005 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
HORTON THOMAS W GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000227/cgi-bin/browse-edgar?action=getcompany&CIK=0001175928) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000227/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000227/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 444 ((3)) ((3)) Common Stock 444 $113.23 14,648 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
Goren Isabella D (/cgi-bin/browse-edgar?action=getcompany&CIK=0001497483) GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
X Director 10% Owner
Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 411 ((3)) ((3)) Common Stock 411 $113.23 3,343 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
Bazin Sebastien GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000223/cgi-bin/browse-edgar?action=getcompany&CIK=0001671730) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000223/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000223/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 684 ((3)) ((3)) Common Stock 684 $113.23 24,609 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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
ANGEL STEPHEN F GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000221/cgi-bin/browse-edgar?action=getcompany&CIK=0001190775) (http://www.sec.gov/Archives/edgar/data/40545/000004054523000221/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
X Director 10% Owner
[ GE ] Officer (give title below) Other (specify below)
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2023
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
Ru
le
10
b5
-1
(c
)
Tr
an
sa
ct
io
n
In
di
ca
ti
on
Ch
ec
k
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
i
ns
tr
uc
ti
on
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
C
he
ck
th
is
bo
x
to
in
di
ca
te
th
at
a
tr
an
sa
ct
io
n
wa
s
ma
de
pu
rs
ua
nt
to
a
co
nt
ra
ct
,
in
st
ru
ct
io
n
or
wr
it
te
n
pl
an
th
at
is
in
te
nd
ed
to
sa
ti
sf
y
th
e
af
fi
rm
at
iv
e
de
fe
ns
e
co
nd
it
io
ns
of
Ru
le
10
b5
-1
(c
).
Se
e
In
st
ru
ct
io
n
10
.
(Last) (First) (Middle)
GENERAL ELECTRIC COMPANY
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054523000221/cgi-bin/browse-edgar?action=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)
09/29/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan that is intended to satisfy the affirmative
defense conditions of Rule 10b5-1(c). See Instruction 10.
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)) 09/29/2023 A 662 ((3)) ((3)) Common Stock 662 $113.23 5,342 D
Explanation of Responses:
1. Acquired at a price of $113.23 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 10/03/2023
** 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.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact
rns@lseg.com (mailto:rns@lseg.com)
or visit
www.rns.com (http://www.rns.com/)
.
RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our
Privacy Policy (https://www.lseg.com/privacy-and-cookie-policy)
. END DSHEAFEDEEKDFAARecent news on General Electric Co
See all newsREG - GE CapUK Fd Unltd Co - Annual Financial Report
AnnouncementREG - GE CapEur Fd Unld Co - Annual Financial Report
AnnouncementREG - General Elec. - 1st Quarter Results
AnnouncementREG - Allianz Global Invs - Top 10 Holdings
AnnouncementREG - General Elec. - Annual Financial Report
Announcement