Statement of Changes in Beneficial Ownership (4)
05 Januar 2021 - 12:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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GARDEN EDWARD P |
2. Issuer Name and Ticker or Trading Symbol
GENERAL ELECTRIC CO
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GE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
223 SUNSET AVENUE, SUITE 223 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2021 |
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(Street)
PALM BEACH, FL 33480
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common stock, par value $0.06 per share | | | | | | | | 32131316 | I | Please see explanation below (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Deferred Fee Phantom Stock Units (3) | (4) | 1/4/2021 | | A | | 4141 | | (5) | (5) | Common Stock | 4141 | $10.87 | 63283 | D | |
| 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 member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by and on behalf of Trian SPV X. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by Trian SPV X. |
| (2) | (FN 1, contd.) The Reporting Persons disclaim beneficial ownership of such shares except to the extent of its 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. |
| (3) | Acquired at a price of $10.87 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director. |
| (4) | Each unit of phantom stock is the economic equivalent of one share of common stock. |
| (5) | Payable beginning one year after termination of service as a director. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
GARDEN EDWARD P
223 SUNSET AVENUE
SUITE 223
PALM BEACH, FL 33480 | X |
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TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE, 41ST FLOOR
NEW YORK, NY 10017 | X |
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Signatures
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| Stacey L. Sayetta, Attorney-In-Fact for Edward P. Garden | | 1/4/2021 |
| **Signature of Reporting Person | Date |
| Stacey L. Sayetta, Attorney-In-Fact for Trian Fund Management, L.P. | | 1/4/2021 |
| **Signature of Reporting Person | Date |
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