General Electric Company Director/PDMR Shareholding
April 15 2024 - 10:27AM
RNS Regulatory News
RNS Number : 6740K
General Electric Company
15 April 2024
SEC Form 3
|
FORM 3
|
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL
OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
|
OMB
APPROVAL
|
|
OMB Number:
|
3235-0104
|
|
Estimated average burden
|
|
hours per response:
|
0.5
|
|
|
|
1. Name and Address of Reporting
Person*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
04/05/2024
|
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [
GE ]
|
|
4. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
|
|
Senior
Vice President
|
|
5. If Amendment, Date of Original
Filed (Month/Day/Year)
|
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
|
X
|
Form filed by One Reporting
Person
|
|
|
Form filed by More than One Reporting
Person
|
|
|
Table I - Non-Derivative
Securities Beneficially Owned
|
|
1.
Title of Security (Instr. 4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Common Stock
|
13,536
|
D
|
|
|
Table II - Derivative
Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
|
1.
Title of Derivative Security (Instr. 4)
|
2.
Date Exercisable and Expiration Date
(Month/Day/Year)
|
3.
Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4.
Conversion or Exercise Price of Derivative
Security
|
5.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/05/2024
|
Common
Stock
|
6,073(2)
|
128.97(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/11/2025
|
Common
Stock
|
5,061(2)
|
123.31(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/30/2026
|
Common
Stock
|
1,517(2)
|
146.33(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
11/17/2027
|
Common
Stock
|
8,095(2)
|
90.01(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
03/19/2028
|
Common
Stock
|
5,061(2)
|
69.55(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
03/19/2029
|
Common
Stock
|
4,383(2)
|
52.38(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
03/02/2030
|
Common
Stock
|
10,602(2)
|
57.62(2)
|
D
|
|
|
Restricted Stock Units
|
(3)
|
(3)
|
Common
Stock
|
10,779(2)
|
(4)
|
D
|
|
|
Restricted Stock Units
|
(5)
|
(5)
|
Common
Stock
|
5,020(2)
|
(4)
|
D
|
|
|
Restricted Stock Units
|
(6)
|
(6)
|
Common
Stock
|
30,690(2)
|
(4)
|
D
|
|
|
Restricted Stock Units
|
(7)
|
(7)
|
Common
Stock
|
5,754(2)
|
(4)
|
D
|
|
|
Explanation of Responses:
|
|
1. The Employee Stock Options are
fully exercisable.
|
|
2. Reflects adjustments made to this
award in connection with the spin-off of GE Vernova Inc.
|
|
3. The Restricted Stock Units were
granted on August 3, 2020, and vest in two equal installments of
50% each, on the third and fourth anniversary of the grant
date.
|
|
4. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
5. The Restricted Stock Units were
granted on March 1, 2022, and vest in two equal installments of 50%
each, on the second and third anniversary of the grant
date.
|
|
6. The Restricted Stock Units were
granted on March 1, 2023, and vest in two equal installments of 50%
each, on the third and fourth anniversary of the grant
date.
|
|
7. The Restricted Stock Units were
granted on March 1, 2023, and vest 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
|
04/15/2024
|
|
|
** 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 5 (b)(v).
|
|
** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
|
|
Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB Number.
|
SEC Form 3
|
FORM 3
|
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL
OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
|
OMB
APPROVAL
|
|
OMB Number:
|
3235-0104
|
|
Estimated average burden
|
|
hours per response:
|
0.5
|
|
|
|
1. Name and Address of Reporting
Person*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
04/05/2024
|
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [
GE ]
|
|
4. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
|
|
Senior
Vice President
|
|
5. If Amendment, Date of Original
Filed (Month/Day/Year)
|
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
|
X
|
Form filed by One Reporting
Person
|
|
|
Form filed by More than One Reporting
Person
|
|
|
Table I - Non-Derivative
Securities Beneficially Owned
|
|
1.
Title of Security (Instr. 4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Table II - Derivative
Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
|
1.
Title of Derivative Security (Instr. 4)
|
2.
Date Exercisable and Expiration Date
(Month/Day/Year)
|
3.
Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4.
Conversion or Exercise Price of Derivative
Security
|
5.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Restricted Stock Units
|
(1)
|
(1)
|
Common
Stock
|
5,444(2)
|
(3)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(4)
|
12/01/2033
|
Common
Stock
|
12,599(2)
|
96.36(2)
|
D
|
|
|
Explanation of Responses:
|
|
1. The Restricted Stock Units were
granted on December 1, 2023, and vest in two equal installments of
50% each, on the second and third anniversary of the grant
date.
|
|
2. Reflects adjustments made to this
award in connection with the spin-off of GE Vernova Inc.
|
|
3. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
4. The Employee Stock Options were
granted on December 1, 2023, and will become exercisable in two
equal annual installments of 50% each beginning on the second and
third anniversary of the grant date.
|
|
Remarks:
|
|
|
|
|
/s/ Brandon Smith, attorney in fact
for John R Phillips III
|
04/15/2024
|
|
|
** 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 5 (b)(v).
|
|
** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
|
|
Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB Number.
|
SEC Form 3
|
FORM 3
|
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL
OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
|
OMB
APPROVAL
|
|
OMB Number:
|
3235-0104
|
|
Estimated average burden
|
|
hours per response:
|
0.5
|
|
|
|
1. Name and Address of Reporting
Person*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
04/05/2024
|
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [
GE ]
|
|
4. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
|
|
Senior
Vice President
|
|
5. If Amendment, Date of Original
Filed (Month/Day/Year)
|
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
|
X
|
Form filed by One Reporting
Person
|
|
|
Form filed by More than One Reporting
Person
|
|
|
Table I - Non-Derivative
Securities Beneficially Owned
|
|
1.
Title of Security (Instr. 4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Table II - Derivative
Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
|
1.
Title of Derivative Security (Instr. 4)
|
2.
Date Exercisable and Expiration Date
(Month/Day/Year)
|
3.
Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4.
Conversion or Exercise Price of Derivative
Security
|
5.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Restricted Stock Units
|
(1)
|
(1)
|
Common
Stock
|
13,611(2)
|
(3)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(4)
|
12/01/2033
|
Common
Stock
|
31,499(2)
|
96.36(2)
|
D
|
|
|
Explanation of Responses:
|
|
1. The Restricted Stock Units were
granted on December 1, 2023, and vest in two equal installments of
50% each, on the second and third anniversary of the grant
date.
|
|
2. Reflects adjustments made to this
award in connection with the spin-off of GE Vernova Inc.
|
|
3. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
4. The Employee Stock Options were
granted on December 1, 2023, and will become exercisable in two
equal annual installments of 50% each, on the second and third
anniversary of the grant date.
|
|
Remarks:
|
|
|
|
|
/s/ Brandon Smith, attorney in fact
for Christian Meisner
|
04/15/2024
|
|
|
** 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 5 (b)(v).
|
|
** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
|
|
Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB Number.
|
SEC Form 3
|
FORM 3
|
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL
OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
|
OMB
APPROVAL
|
|
OMB Number:
|
3235-0104
|
|
Estimated average burden
|
|
hours per response:
|
0.5
|
|
|
|
1. Name and Address of Reporting
Person*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
04/05/2024
|
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [
GE ]
|
|
4. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
|
|
Senior
Vice President
|
|
5. If Amendment, Date of Original
Filed (Month/Day/Year)
|
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
|
X
|
Form filed by One Reporting
Person
|
|
|
Form filed by More than One Reporting
Person
|
|
|
Table I - Non-Derivative
Securities Beneficially Owned
|
|
1.
Title of Security (Instr. 4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Table II - Derivative
Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
|
1.
Title of Derivative Security (Instr. 4)
|
2.
Date Exercisable and Expiration Date
(Month/Day/Year)
|
3.
Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4.
Conversion or Exercise Price of Derivative
Security
|
5.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Restricted Stock Units
|
(1)
|
(1)
|
Common
Stock
|
32,782(2)
|
(3)
|
D
|
|
|
Restricted Stock Units
|
(4)
|
(4)
|
Common
Stock
|
38,362(2)
|
(3)
|
D
|
|
|
Restricted Stock Units
|
(5)
|
(5)
|
Common
Stock
|
5,754(2)
|
(3)
|
D
|
|
|
Explanation of Responses:
|
|
1. The Restricted Stock Units were
granted on June 1, 2022, and vest in two equal installments of 50%
each, on the second and third anniversary of the grant
date.
|
|
2. Reflects adjustments made to this
award in connection with the spin-off of GE Vernova Inc.
|
|
3. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
4. The Restricted Stock Units were
granted on March 1, 2023, and vest in two equal installments of 50%
each, on the third and fourth anniversary of the grant
date.
|
|
5. The Restricted Stock Units were
granted on March 1, 2023, and vest 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
|
04/15/2024
|
|
|
** 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 5 (b)(v).
|
|
** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
|
|
Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB Number.
|
SEC Form 3
|
FORM 3
|
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL
OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
|
OMB
APPROVAL
|
|
OMB Number:
|
3235-0104
|
|
Estimated average burden
|
|
hours per response:
|
0.5
|
|
|
|
1. Name and Address of Reporting
Person*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
04/05/2024
|
3. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO [
GE ]
|
|
4. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
|
|
Vice
President
|
|
5. If Amendment, Date of Original
Filed (Month/Day/Year)
|
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
|
X
|
Form filed by One Reporting
Person
|
|
|
Form filed by More than One Reporting
Person
|
|
|
Table I - Non-Derivative
Securities Beneficially Owned
|
|
1.
Title of Security (Instr. 4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Common Stock
|
5,908
|
D
|
|
|
Table II - Derivative
Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
|
1.
Title of Derivative Security (Instr. 4)
|
2.
Date Exercisable and Expiration Date
(Month/Day/Year)
|
3.
Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4.
Conversion or Exercise Price of Derivative
Security
|
5.
Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6.
Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/05/2024
|
Common
Stock
|
5,667(2)
|
128.97(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/11/2025
|
Common
Stock
|
5,061(2)
|
123.31(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
09/30/2026
|
Common
Stock
|
3,035(2)
|
146.33(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
12/21/2028
|
Common
Stock
|
29,264(2)
|
36.65(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
03/19/2029
|
Common
Stock
|
14,796(2)
|
52.38(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
04/11/2029
|
Common
Stock
|
3,559(2)
|
46.89(2)
|
D
|
|
|
Employee Stock Option (right to
buy)
|
(1)
|
03/02/2030
|
Common
Stock
|
15,796(2)
|
57.62(2)
|
D
|
|
|
Restricted Stock Units
|
(3)
|
(3)
|
Common
Stock
|
8,803(2)
|
(4)
|
D
|
|
|
Restricted Stock Units
|
(5)
|
(5)
|
Common
Stock
|
2,952
|
(4)
|
D
|
|
|
Restricted Stock Units
|
(6)
|
(6)
|
Common
Stock
|
6,906
|
(4)
|
D
|
|
|
Explanation of Responses:
|
|
1. The Employee Stock Options are
fully exercisable.
|
|
2. Reflects adjustments made to this
award in connection with the spin-off of GE Vernova Inc.
|
|
3. The Restricted Stock Units were
granted on August 3, 2020, and vest in two equal installments of
50% each, on the third and fourth anniversary of the grant
date.
|
|
4. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
5. The Restricted Stock Units were
granted on March 1, 2022, and vest in two equal installments of 50%
each, on the second and third anniversary of the grant
date.
|
|
6. The Restricted Stock Units were
granted on March 1, 2023, and vest 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
|
04/15/2024
|
|
|
** 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 5 (b)(v).
|
|
** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
|
|
Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
|
|
Persons who respond to the collection of information contained
in this form are not required to respond unless the form displays a
currently valid OMB Number.
|
This information is provided by RNS, the news service of the
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END
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