REG - General Elec. - Director/PDMR Shareholding
05/04/2024 07:00
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RNS Number : 4125J General Electric Company 04 April 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
X Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
X
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
GENERAL ELECTRIC CO GE Vernova Inc. (/cgi-bin/browse-edgar?action=getcompany&CIK=0001996810) [
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) GEV ]
Director 10% Owner
Officer (give title below) X Other (specify below)
Former 10% Owner
(Last) (First) (Middle)
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
04/02/2024
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)
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GE Vernova Inc. (/cgi-bin/browse-edgar?action=getcompany&CIK=0001996810) [
GEV ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Former 10% Owner
3. Date of Earliest Transaction (Month/Day/Year)
04/02/2024
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
Common stock, par value $0.01 per share((1)) 04/02/2024 J((2)) 274,085,523 D ((2)) 0 D
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
Explanation of Responses:
1. On March 8, 2024, General Electric Company, a New York corporation ("GE"),
reported that it owned 100 shares, par value $0.01 per share, of GE Vernova
LLC, which at the time constituted all of the issued and outstanding limited
liability company units of GE Vernova LLC. On April 1, 2024, GE Vernova LLC
converted from a limited liability company to a corporation and changed its
name to GE Vernova Inc. In connection therewith, the outstanding shares of GE
Vernova Inc. changed to 274,085,523 shares of common stock, par value $0.01
per share.
2. The record date for the distribution by GE of all of the shares of common
stock of GE Vernova Inc. to the holders of GE common shares was March 19, 2024
(the "Spin-Off"). The Spin-Off occurred before the market open on April 2,
2024.
/s/ Brandon Smith, Vice President, Chief Corporate, Securities & Finance 04/04/2024
Counsel
** 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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