Form Type: 4

SEC EDGAR Link
Acccession Number:0001209191-19-051332
Date:2019-10-01
Issuer: GENERAL ELECTRIC CO (GE)
Original Submission Date:

Reporting Person:

GARDEN EDWARD P
280 PARK AVENUE, 41ST FLOOR
NEW YORK, NY 10017

Reporting Person:

TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE, 41ST FLOOR
NEW YORK, NY 10017

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.06 PER SHARE 0 $0.00 64,191,203 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
DEFERRED FEE PHANTOM STOCK UNITS 0.0 2019-10-01 deemed execution date A 4,943 (a) common stock 4,943 $0.00 35,703 direct
Footnotes
IDfootnote
f1 trian fund management, l.p. ("trian management") serves as the management company for trian partners, l.p., trian partners master fund, l.p., trian partners parallel fund i, l.p., trian partners strategic investment fund ii, l.p., trian partners strategic investment fund-a, l.p., trian partners strategic investment fund-n, l.p., trian partners strategic investment fund-d, l.p., trian partners strategic fund-g ii, l.p., trian partners strategic fund g-iii, l.p., trian partners co-investment opportunities fund, ltd., trian spv (sub) x, l.p., trian partners strategic fund-k, l.p. and trian partners strategic fund-c, ltd. (collectively, the "trian entities") and as such determines the investment and voting decisions of the trian entities with respect to the shares of the issuer held by them.
f2 (fn 1, contd.) 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 trian management on behalf of the trian entities. 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 the trian entities. the reporting persons disclaim beneficial ownership of such shares except to the extent of their 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.
f3 acquired at a price of $9.10 per unit pursuant to the terms of the 2007 long-term incentive plan. payable beginning one year after termination of service as a director.
f4 each unit of phantom stock is the economic equivalent of one share of common stock.
f5 payable beginning one year after termination of service as a director.

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