REG - General Elec. - Director/PDMR Shareholding
04/01/2024 07:00
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RNS Number : 5888Y General Electric Company 03 January 2024
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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 376 ((3)) ((3)) Common Stock 376 $123.54 1,073 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 389 ((3)) ((3)) Common Stock 389 $123.54 13,585 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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.
(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 [ 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)
12/29/2023
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)) 12/29/2023 A 346 ((3)) ((3)) Common Stock 346 $123.54 1,139 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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.
(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 [ 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)
12/29/2023
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)) 12/29/2023 A 389 ((3)) ((3)) Common Stock 389 $123.54 11,401 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 407 ((3)) ((3)) Common Stock 407 $123.54 15,065 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 GENERAL ELECTRIC CO [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 376 ((3)) ((3)) Common Stock 376 $123.54 3,721 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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
Enders Thomas GENERAL ELECTRIC CO [ GE ]
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
(Last) (First) (Middle)
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
12/29/2023
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
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(Last) (First) (Middle)
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ 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)
12/29/2023
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)) 12/29/2023 A 113 ((3)) ((3)) Common Stock 113 $123.54 113 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 Enders 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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
Billson Margaret S GENERAL ELECTRIC CO [ GE ]
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
(Last) (First) (Middle)
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
12/29/2023
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
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10
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(Last) (First) (Middle)
ONE FINANCIAL CENTER, SUITE 3700
(Street)
BOSTON MA 02111
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [ 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)
12/29/2023
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)) 12/29/2023 A 113 ((3)) ((3)) Common Stock 113 $123.54 113 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 Margaret Billson 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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
GARDEN EDWARD P GENERAL ELECTRIC CO [ GE ]
(Check all applicable)
X Director 10% Owner
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 364 ((4)) ((4)) Common Stock 364 $123.54 13,799 D
1. Name and Address of Reporting Person(*)
GARDEN EDWARD P
(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.
(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.
(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 $123.54 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:
Effective as of January 1, 2024, Ed Garden has concluded his services as a
Senior Advisor to Trian Management, and Trian Management is no longer a
Reporting Person for purposes of Section 16 of the Securities Exchange Act of
1934, as amended.
/s/ Daniel R. Marx, Attorney-In-Fact for Edward P. Garden 01/03/2024
/s/ Peter W. May, member of the general partner of Trian Fund Management, L.P. 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 627 ((3)) ((3)) Common Stock 627 $123.54 25,254 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 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 [ GE ]
(Check all applicable)
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)
12/29/2023
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
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(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 [ 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)
12/29/2023
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)) 12/29/2023 A 607 ((3)) ((3)) Common Stock 607 $123.54 5,953 D
Explanation of Responses:
1. Acquired at a price of $123.54 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 01/03/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4
(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If
space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form
are not required to respond unless the form displays a currently valid OMB
Number.
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