TIDMGEC

RNS Number : 8204N

General Electric Company

04 October 2021

4

SEC Form 4

 
              FORM 4                     UNITED STATES SECURITIES AND EXCHANGE                  OMB APPROVAL 
                                                       COMMISSION                     OMB Number:           3235-0287 
                                                 Washington, D.C. 20549                Estimated average burden 
                                                                                       hours per response:         0.5 
                                      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 
     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            2. Issuer Name     5. Relationship of Reporting Person(s) to Issuer 
 Reporting Person                  and Ticker or       (Check all applicable)X  Director                      10% Owner 
 (*)GARDEN EDWARD P                Trading Symbol         Officer (give title below)    Other (specify below) 
                                   GENERAL ELECTRIC 
 (Last)  (First)  (Middle)         CO [ GE ] 
 
 223 SUNSET AVENUE 
 SUITE 223 
 
 (Street)PALM BEACH   FL   33480 
 
 (City)  (State)  (Zip) 
                                   3. Date of 
                                   Earliest 
                                   Transaction 
                                   (Month/Day/Year) 
                                   10/01/2021 
                                   4. If Amendment,   6. Individual or Joint/Group Filing (Check Applicable Line)   Form filed by One Reporting Person 
                                   Date of Original    X  Form filed by More than One Reporting Person 
                                   Filed 
                                   (Month/Day/Year) 
 
 
                               Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 
 1. Title of   2. Transaction     2A. Deemed         3. Transaction   4. Securities Acquired      5. Amount of     6.          7. Nature of 
 Security      Date               Execution Date,    Code (Instr.     (A) or Disposed Of (D)      Securities       Ownership   Indirect 
 (Instr. 3)    (Month/Day/Year)   if any             8)               (Instr. 3, 4 and 5)         Beneficially     Form:       Beneficial 
                                  (Month/Day/Year)                                                Owned            Direct      Ownership 
                                                                                                  Following        (D) or      (Instr. 4) 
                                                                                                  Reported         Indirect 
                                                                                                  Transaction(s)   (I) 
                                                                                                  (Instr. 3 and    (Instr. 
                                                                                                  4)               4) 
                                                     Code   V         Amount   (A)   Price 
                                                                               or 
                                                                               (D) 
 Common                                                                                           4,016,414 (1)        I       Please see 
 stock, par                                                                                                                    explanation 
 value $0.01                                                                                                                   below (2)(3) 
 per share 
 
 
                                                                   Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned 
                                                                           (e.g., puts, calls, warrants, options, convertible securities) 
 1. Title of   2.           3. Transaction     3A. Deemed         4. Transaction   5. Number of       6. Date Exercisable and          7. Title and Amount   8. Price     9. Number of     10.         11. Nature 
 Derivative    Conversion   Date               Execution Date,    Code (Instr.     Derivative         Expiration Date                  of Securities         of           derivative       Ownership   of Indirect 
 Security      or           (Month/Day/Year)   if any             8)               Securities         (Month/Day/Year)                 Underlying            Derivative   Securities       Form:       Beneficial 
 (Instr. 3)    Exercise                        (Month/Day/Year)                    Acquired (A) or                                     Derivative Security   Security     Beneficially     Direct      Ownership 
               Price of                                                            Disposed of (D)                                     (Instr. 3 and 4)      (Instr. 5)   Owned            (D) or      (Instr. 4) 
               Derivative                                                          (Instr. 3, 4 and                                                                       Following        Indirect 
               Security                                                            5)                                                                                     Reported         (I) 
                                                                                                                                                                          Transaction(s)   (Instr. 
                                                                                                                                                                          (Instr.          4) 
                                                                                                                                                                          4) 
                                                                                                                                                Amount or 
                                                                                                      Date                                      Number of 
                                                                  Code   V         (A)   (D)          Exercisable   Expiration Date    Title    Shares 
 Deferred 
  Fee 
  Phantom 
  Stock                                                                                                                                Common 
  Units (4)       (5)          10/01/2021                          A               438                    (6)             (6)          Stock       438        $ 102.67      9,214 (1)          D 
 
 
 1. Name and Address of Reporting Person (*)GARDEN EDWARD P 
 
  (Last)  (First)  (Middle) 
 
  223 SUNSET AVENUE 
  SUITE 223 
 
  (Street)PALM BEACH   FL   33480 
 
  (City)  (State)  (Zip) 
 1. Name and Address of Reporting Person (*)TRIAN FUND MANAGEMENT, L.P. 
 
  (Last)  (First)  (Middle) 
 
  280 PARK AVENUE, 41ST FLOOR 
 
 
  (Street)NEW YORK   NY   10017 
 
  (City)  (State)  (Zip) 
 
 
Explanation of Responses: 
1. Reflects adjustments made in connection with the 1-for-8 reverse split of the Issuer's 
 common stock. 
2. 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. 
3. (FN 2, 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. 
4. Acquired at a price of $102.67 per unit pursuant to the terms of the 2007 Long-Term Incentive 
 Plan. Payable beginning one year after termination of service as a director. 
5. Each unit of phantom stock is the economic equivalent of one share of common stock. 
6. Payable beginning one year after termination of service as a director. 
Remarks: 
 
 
 
  Stacey L. Sayetta, Attorney-In-Fact for Edward P. Garden                                  10/01/2021 
  Stacey L. Sayetta, Attorney-In-Fact for Trian Fund Management, L.P.                       10/01/2021 
  ** 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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