TIDMGEC
RNS Number : 4350X
General Electric Company
05 January 2022
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549 OMB Number: 3235-0104
Estimated average burden
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES hours per response: 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of 2. Date of Event 3. Issuer Name and Ticker or Trading Symbol
Reporting Person Requiring GENERAL ELECTRIC CO [ GE ]
(*)Arduini Peter J Statement
(Month/Day/Year)
(Last) (First) (Middle)
01/01/2022
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
4. Relationship of Reporting Person(s) to Issuer 5. If Amendment, Date of Original Filed (Month/Day/Year)
(Check all applicable) Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
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 2. Amount of Securities 3. Ownership Form: Direct 4. Nature of Indirect
(Instr. 4) Beneficially Owned (Instr. (D) or Indirect (I) (Instr. Beneficial Ownership
4) 5) (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of 2. Date Exercisable and 3. Title and Amount of 4. 5. 6. Nature of
Derivative Expiration Date Securities Underlying Conversion Ownership Indirect
Security (Month/Day/Year) Derivative Security or Exercise Form: Beneficial
(Instr. 4) (Instr. 4) Price of Direct (D) Ownership
Derivative or Indirect (Instr. 5)
Security (I) (Instr.
5)
Amount or
Date Number of
Exercisable Expiration Date Title Shares
Explanation of Responses:
No securities are beneficially owned.
Brandon Smith on behalf of Peter J. Arduini 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Peter J. Arduini, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am an Officer of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Peter J. Arduini
Name: Peter J. Arduini
Date: December 9, 2021
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
(*)TISCH JAMES S Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 756 (3) (3) Stock 756 $ 94.23 26,688 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of James S. Tisch 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, James S. Tisch, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ James S. Tisch
Name: James S. Tisch
Date: November 23, 2021
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
(*)Seidman Leslie Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 493 (3) (3) Stock 493 $ 94.23 13,102 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Leslie F. Seidman 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Leslie F. Seidman, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Leslie F. Seidman
Name: Leslie F. Seidman
Date: November 13, 2021
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
(*)LESJAK CATHERINE A Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 509 (3) (3) Stock 509 $ 94.23 7,051 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Catherine A. Lesjak 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Catherine A. Lesjak, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Catherine A. Lesjak
Name: Catherine A. Lesjak
Date: November 16, 2021
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
(*)Reynolds Paula Rosput Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 622 (3) (3) Stock 622 $ 94.23 8,581 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Paula Rosput Reynolds 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Paula Rosput Reynolds, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Paula Rosput Reynolds
Name: Paula Rosput Reynolds
Date: November 8, 2021
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
(*)LAVIZZO-MOUREY RISA J Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 454 (3) (3) Stock 454 $ 94.23 10,984 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Risa J. Lavizzo-Mourey 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Risa J. Lavizzo-Mourey, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Risa J. Lavizzo-Mourey
Name: Risa J. Lavizzo-Mourey
Date: November 10, 2021
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)
01/03/2022
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 I Please see
stock, par explanation
value $0.01 below (1)(2)
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 (3) (4) 01/03/2022 A 478 (5) (5) Stock 478 $ 94.23 9,699 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. 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 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.
3. Acquired at a price of $94.23 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.
Remarks:
Daniel R. Marx, Attorney-In-Fact for Edward P. Garden 01/04/2022
Daniel R. Marx, Attorney-In-Fact for Trian Fund Management, L.P. 01/04/2022
** 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 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
(*)DSOUZA FRANCISCO Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 889 (3) (3) Stock 889 $ 94.23 23,526 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Francisco D'Souza 01/03/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Francisco D'Souza, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Francisco D'Souza
Name: Francisco D'Souza
Date: November 14, 2021
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
(*)HORTON THOMAS W Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 573 (3) (3) Stock 573 $ 94.23 10,340 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Thomas W. Horton 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Thomas W. Horton, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Thomas W. Horton
Name: Thomas W. Horton
Date: December 2, 2021
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
(*)Carter Ashton B Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 493 (3) (3) Stock 493 $ 94.23 3,643 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Ashton B. Carter 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Ashton B. Carter, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Ashton B. Carter
Name: Ashton B. Carter
Date: December 17, 2021
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
(*)Bazin Sebastien Trading Symbol Officer (give title below) Other (specify below)
GENERAL ELECTRIC
(Last) (First) (Middle) CO [ GE ]
GENERAL ELECTRIC COMPANY
5 NECCO STREET
(Street)BOSTON MA 02210
(City) (State) (Zip)
3. Date of
Earliest
Transaction
(Month/Day/Year)
01/03/2022
4. If Amendment, 6. Individual or Joint/Group Filing (Check Applicable Line)X Form filed by One Reporting Person
Date of Original 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 2. Transaction 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. 7. Nature of
of Date Execution Date, Code (Instr. (A) or Disposed Of (D) Securities Ownership Indirect
Security (Month/Day/Year) if any 8) (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Instr. (Month/Day/Year) Owned Direct Ownership
3) Following (D) or (Instr. 4)
Reported Indirect
Transaction(s) (I)
(Instr. 3 and (Instr.
4) 4)
Code V Amount (A) Price
or
(D)
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 (1) (2) 01/03/2022 A 822 (3) (3) Stock 822 $ 94.23 18,181 D
Explanation of Responses:
1. Acquired at a price of $94.23 per unit pursuant to the terms of the 2007 Long-Term Incentive
Plan. Payable beginning one year after termination of service as a director.
2. Each unit of phantom stock is the economic equivalent of one share of common stock.
3. Payable beginning one year after termination of service as a director.
Brandon Smith on behalf of Sebastien M. Bazin 01/04/2022
** 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.
Limited Power of Attorney for Section 16 Reporting
Obligations.
I, Sebastien M. Bazin, hereby appoint GE to assist me in the
preparation and filing of Section 16 reports, and execute the below
Power of Attorney for this purpose.
I am a Director of General Electric Company (GE) and, until
further written notice, I hereby individually authorize each of
Brandon Smith, Julia L. Chen and Kira R. Schwartz, with full power
of substitution to each, to sign on my behalf any Form 3, Form 4,
Form 5, Form 144 or related form that I have filed or may file
hereafter in connection with my direct or indirect beneficial
ownership of GE securities, and to take any other action of any
type whatsoever in connection with the foregoing that in his or her
opinion may be for the benefit of, in the best interest of, or
legally required by me.
Signed: /s/ Sebastien M. Bazin
Name: Sebastien M. Bazin
Date: December 2, 2021
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END
DSHEADFLEAFAEAA
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January 05, 2022 01:59 ET (06:59 GMT)
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