Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-044438
Date:2021-07-01
Issuer: GENERAL ELECTRIC CO (GE)
Original Submission Date:

Reporting Person:

GARDEN EDWARD P
223 SUNSET AVENUE
SUITE 223 PALM BEACH, FL 33480

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 2021-07-01 0 $0.00 32,131,316 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 2021-07-01 deemed execution date A 3,357 (a) common stock 3,357 $0.00 70,156 direct
Footnotes
IDfootnote
f1 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.
f2 (fn 1, 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.
f3 acquired at a price of $13.40 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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