REG - General Elec. - Director/PDMR Shareholding
07/05/2024 07:00
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RNS Number : 2687N General Electric Company 03 May 2024
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
Stokes Russell (/cgi-bin/browse-edgar?action=getcompany&CIK=0001752122) GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
(Last) (First) (Middle) Senior Vice President
GE AEROSPACE
1NEUMANN WAY
(Street)
CINCINNATI OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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)
GE AEROSPACE
1 NEUMANN WAY
(Street)
CINCINNATI OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 6,443 ((2)) ((2)) Common Stock 6,443 $0 6,443 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 24,793 ((2)) 05/01/2034 Common Stock 24,793 $0 24,793 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Russell Stokes 05/03/2024
** 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
Procacci Riccardo (/cgi-bin/browse-edgar?action=getcompany&CIK=0002015929) GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
(Last) (First) (Middle) Senior Vice President
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 1,933 ((2)) ((2)) Common Stock 1,933 $0 1,933 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 7,438 ((2)) 05/01/2034 Common Stock 7,438 $0 7,438 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Riccardo Procacci 05/03/2024
** 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
Phillips John R, III GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0002015720) (/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
(Last) (First) (Middle)
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
Ru
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(Last) (First) (Middle)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 4,510 ((2)) ((2)) Common Stock 4,510 $0 4,510 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 17,355 ((2)) 05/01/2034 Common Stock 17,355 $0 17,355 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for John R Phillips III 05/03/2024
** 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
Meisner Christian (/cgi-bin/browse-edgar?action=getcompany&CIK=0002015707) GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
(Last) (First) (Middle) Senior Vice President
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
Ru
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(Last) (First) (Middle)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 4,510 ((2)) ((2)) Common Stock 4,510 $0 4,510 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 17,355 ((2)) 05/01/2034 Common Stock 17,355 $0 17,355 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Christian Meisner 05/03/2024
** 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
Gowder Amy L GENERAL ELECTRIC CO
(Check all applicable)
(http://www.sec.gov/Archives/edgar/data/40545/000004054524000119/cgi-bin/browse-edgar?action=getcompany&CIK=0001810148) (http://www.sec.gov/Archives/edgar/data/40545/000004054524000119/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
Director 10% Owner
[ GE ] X Officer (give title below) Other (specify below)
Senior Vice President
(Last) (First) (Middle)
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
(http://www.sec.gov/Archives/edgar/data/40545/000004054524000119/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545)
[ GE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 1,933 ((2)) ((2)) Common Stock 1,933 $0 1,933 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 7,438 ((2)) 05/01/2034 Common Stock 7,438 $0 7,438 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Amy L. Gowder 05/03/2024
** 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
Giglietti Robert M. GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0001953063) (/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
(Last) (First) (Middle)
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 1,546 ((2)) ((2)) Common Stock 1,546 $0 1,546 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 5,486 ((2)) 05/01/2034 Common Stock 5,486 $0 5,486 D
Restricted Stock Units ((1)) 05/01/2024 A 4,832 ((2)) ((2)) Common Stock 4,832 $0 4,832 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Robert M. Giglietti 05/03/2024
** 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
GHAI RAHUL (/cgi-bin/browse-edgar?action=getcompany&CIK=0001666090) GENERAL ELECTRIC CO
(Check all applicable)
(/cgi-bin/browse-edgar?action=getcompany&CIK=0000040545) [ GE ]
Director 10% Owner
X Officer (give title below) Other (specify below)
(Last) (First) (Middle) Senior Vice President
GE AEROSPACE
1NEUMANN WAY
(Street)
EVENDALE OH 45215
(City) (State) (Zip)
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
Ru
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10
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(Last) (First) (Middle)
GE AEROSPACE
1 NEUMANN WAY
(Street)
EVENDALE OH 45215
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2024
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
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
Restricted Stock Units ((1)) 05/01/2024 A 6,134 ((2)) ((2)) Common Stock 6,134 $0 6,134 D
Employee Stock Option (right to buy) $159.7 05/01/2024 A 23,603 ((2)) 05/01/2034 Common Stock 23,603 $0 23,603 D
Explanation of Responses:
1. Each Restricted Stock Unit represents a contingent right to receive one
share of the issuer's common stock.
2. The Restricted Stock Units vest and the Employee Stock Options become
exercisable in two equal installments of 50% each, on the second and third
anniversary of the grant date.
Remarks:
/s/ Brandon Smith, attorney in fact for Rahul Ghai 05/03/2024
** 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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