General Electric Company Director/PDMR Shareholding
07 August 2024 - 4:00PM
RNS Regulatory News
RNS Number : 4674Z
General Electric Company
07 August 2024
4/A
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*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GENERAL
ELECTRIC CO [ GE ]
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5. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
|
|
Director
|
|
10% Owner
|
|
X
|
Officer (give title
below)
|
|
Other (specify below)
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|
Senior
Vice President
|
|
|
3. Date of Earliest Transaction
(Month/Day/Year)
08/03/2024
|
|
4. If Amendment, Date of Original
Filed (Month/Day/Year)
08/06/2024
|
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.
|
|
|
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)
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3.
Transaction Code (Instr. 8)
|
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)
|
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
|
V
|
Amount
|
(A)
or (D)
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Price
|
|
Common Stock
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08/03/2024
|
|
M
|
|
10,779
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A
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$0
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20,289(1)
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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)
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3A.
Deemed Execution Date, if any (Month/Day/Year)
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4.
Transaction Code (Instr. 8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6.
Date Exercisable and Expiration Date
(Month/Day/Year)
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7.
Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8.
Price of Derivative Security (Instr. 5)
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9.
Number of derivative Securities Beneficially Owned Following
Reported Transaction(s) (Instr. 4)
|
10.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(2)
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08/03/2024
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M
|
|
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10,779(1)
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(3)
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(3)
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Common
Stock
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10,779(1)
|
$0
|
0
|
D
|
|
|
Explanation of Responses:
|
|
1. On August 6, 2024, this reporting
person filed a Form 4 which inadvertently reported that, following
his vesting of Restricted Stock Units and subsequent shares sold to
pay for the taxes or exercise liabilities, he directly owned 20,309
shares of the issuer's common stock. In fact, as reported in this
amendment, the reporting person directly owns 20,289 shares of the
issuer's common stock. The original Form 4 also mistakenly
indicated that the reporting person had 10,799 Restricted Stock
Units vest. The correct number of Restricted Stock Units that
vested on August 3, 2024 was 10,779.
|
|
2. Each Restricted Stock Unit
represents a contingent right to receive one share of the issuer's
common stock.
|
|
3. The Restricted Stock Units vest
in two equal installments of 50% each, on the third and fourth
anniversary of the grant date.
|
|
Remarks:
|
|
|
|
|
/s/ Brandon Smith, attorney in fact
for Riccardo Procacci
|
08/06/2024
|
|
|
** 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
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*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
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)
08/03/2024
|
|
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.
|
|
|
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
|
08/03/2024
|
|
M
|
|
8,803
|
A
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$0
|
15,251
|
D
|
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Common Stock
|
08/03/2024
|
|
F
|
|
4,080
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D
|
$162.86
|
11,171
|
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)
|
08/03/2024
|
|
M
|
|
|
8,803
|
(2)
|
(2)
|
Common
Stock
|
8,803
|
$0
|
0
|
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
in two equal installments of 50% each, on the third and fourth
anniversary of the grant date.
|
|
Remarks:
|
|
|
|
|
/s/ Brandon Smith, attorney in fact
for Robert M. Giglietti
|
08/06/2024
|
|
|
** 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
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*
|
GE AEROSPACE
|
|
1 NEUMANN WAY
|
(Street)
|
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)
08/03/2024
|
|
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.
|
|
|
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
|
08/03/2024
|
|
M
|
|
10,799
|
A
|
$0
|
24,944
|
D
|
|
|
Common Stock
|
08/03/2024
|
|
F
|
|
4,635
|
D
|
$162.86
|
20,309
|
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)
|
08/03/2024
|
|
M
|
|
|
10,799
|
(2)
|
(2)
|
Common
Stock
|
10,799
|
$0
|
0
|
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
in two equal installments of 50% each on the third and fourth
anniversary of the grant date.
|
|
Remarks:
|
|
|
|
|
/s/ Brandon Smith, attorney in fact
for Riccardo Procacci
|
08/06/2024
|
|
|
** 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.
|
This information is provided by RNS, the news service of the
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