Director/PDMR Shareholding

RNS Number : 7523R
General Electric Company
03 March 2023
 


SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Timko Thomas S


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


3,417

A

$ 0

28,846

D


Common Stock

03/01/2023


F


1,661

D

$ 84.57

27,185

D


Common Stock








1,250

I

By trust


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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


8,751


(2)

(2)

Common Stock

8,751

$ 0

8,751

D


Restricted Stock Units

(1)

03/01/2023


M



3,417

03/01/2023

03/01/2023

Common Stock

3,417

$ 0

3,417

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 Thomas S. Timko

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Strazik Scott


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Senior Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


5,149

A

$ 0

20,783

D


Common Stock

03/01/2023


F


2,518

D

$ 84.57

18,265

D


Common Stock








9,587

I

401(k)

Common Stock








5,243

I

Spouse's 401(k)


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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


14,484


(2)

(2)

Common Stock

14,484

$ 0

14,484

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


53,587


(2)

03/01/2033

Common Stock

53,587

$ 0

53,587

D


Restricted Stock Units

(1)

03/01/2023


M



5,149

03/01/2023

03/01/2023

Common Stock

5,149

$ 0

5,149

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 Scott Strazik

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Stokes Russell


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Senior Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


4,505

A

$ 0

50,938

D


Common Stock

03/01/2023


F


2,033

D

$ 84.57

48,905

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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


12,070


(2)

(2)

Common Stock

12,070

$ 0

12,070

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


44,656


(2)

03/01/2033

Common Stock

44,656

$ 0

44,656

D


Restricted Stock Units

(1)

03/01/2023


M



4,505

03/01/2023

03/01/2023

Common Stock

4,505

$ 0

4,506

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

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Slattery John S.


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Executive Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


7,723

A

$ 0

14,636

D


Common Stock

03/01/2023


F


3,402

D

$ 84.57

11,234

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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


7,242


(2)

(2)

Common Stock

7,242

$ 0

7,242

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


26,794


(2)

03/01/2033

Common Stock

26,794

$ 0

26,794

D


Restricted Stock Units

(1)

03/01/2023


M



7,723

03/01/2023

03/01/2023

Common Stock

7,723

$ 0

7,724

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 S. Slattery

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Holston Michael J


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Senior Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


2,892

A

$ 0

53,821

D


Common Stock

03/01/2023


F


1,372

D

$ 84.57

52,449

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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


21,123


(2)

(2)

Common Stock

21,123

$ 0

21,123

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


33,492


(2)

03/01/2033

Common Stock

33,492

$ 0

33,492

D


Restricted Stock Units

(1)

03/01/2023


M



2,892

03/01/2023

03/01/2023

Common Stock

2,892

$ 0

2,891

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 Michael J. Holston

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Dybeck Happe Carolina


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Senior Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


5,257

A

$ 0

8,684

D


Common Stock

03/01/2023


F


1,727

D

$ 84.57

6,957

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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


12,070


(2)

(2)

Common Stock

12,070

$ 0

12,070

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


44,656


(2)

03/01/2033

Common Stock

44,656

$ 0

44,656

D


Restricted Stock Units

(1)

03/01/2023


M



5,257

03/01/2023

03/01/2023

Common Stock

5,257

$ 0

5,256

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 Carolina Dybeck Happe

03/02/2023


** 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
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:

3235-0287

Estimated average burden

hours per response:

0.5



 


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 *

Cox L Kevin


(Last)

(First)

(Middle)


GENERAL ELECTRIC COMPANY

5 NECCO STREET


(Street)

BOSTON

MA

02210


(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)


Director


10% Owner

X

Officer (give title below)


Other (specify below)

Senior Vice President


3. Date of Earliest Transaction (Month/Day/Year)
03/01/2023

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



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) (Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)

7. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

V

Amount

(A) or (D)

Price

Common Stock

03/01/2023


M


3,154

A

$ 0

8,669

D


Common Stock

03/01/2023


F


1,434

D

$ 84.57

7,235

D


Common Stock








12,431

I

by trust

Common Stock








110

I

by wife's trust

Common Stock








794

I

by descendant's trust


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 Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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 (Month/Day/Year)

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: 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

Restricted Stock Units

(1)

03/01/2023


A


20,519


(2)

(2)

Common Stock

20,519

$ 0

20,519

D


Employee Stock Option (right to buy)

$ 82.85

03/01/2023


A


31,259


(2)

03/01/2033

Common Stock

31,259

$ 0

31,259

D


Restricted Stock Units

(1)

03/01/2023


M



3,154

03/01/2023

03/01/2023

Common Stock

3,154

$ 0

3,154

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 L. Kevin Cox

03/02/2023


** 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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END
 
 
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