0001209191-23-022889.txt : 20230404
0001209191-23-022889.hdr.sgml : 20230404
20230404175334
ACCESSION NUMBER: 0001209191-23-022889
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230331
FILED AS OF DATE: 20230404
DATE AS OF CHANGE: 20230404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GARDEN EDWARD P
CENTRAL INDEX KEY: 0001257864
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00035
FILM NUMBER: 23799898
MAIL ADDRESS:
STREET 1: 223 SUNSET AVENUE
CITY: PALM BEACH
STATE: FL
ZIP: 33480
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRIAN FUND MANAGEMENT, L.P.
CENTRAL INDEX KEY: 0001345471
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00035
FILM NUMBER: 23799897
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER NAME:
FORMER CONFORMED NAME: Trian Fund Management, L.P.
DATE OF NAME CHANGE: 20051128
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GENERAL ELECTRIC CO
CENTRAL INDEX KEY: 0000040545
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600]
IRS NUMBER: 140689340
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5 NECCO STREET
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: 617-443-3000
MAIL ADDRESS:
STREET 1: 5 NECCO STREET
CITY: BOSTON
STATE: MA
ZIP: 02210
4
1
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-03-31
0
0000040545
GENERAL ELECTRIC CO
GE
0001257864
GARDEN EDWARD P
223 SUNSET AVENUE
PALM BEACH
FL
33480
1
0
0
0
0001345471
TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE, 41ST FLOOR
NEW YORK
NY
10017
1
0
0
0
0
Common Stock, par value $0.01 per share
4016414
I
Please see explanation below
Deferred Fee Phantom Stock Units
2023-03-31
4
A
0
495
91.00
A
Common Stock
495
12584
D
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.
(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.
Acquired at a price of $91.00 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.
Each unit of phantom stock is the economic equivalent of one share of common stock.
Payable beginning one year after termination of service as a director.
/s/ Daniel R. Marx, Attorney-In-Fact for Edward P. Garden
2023-04-04
/s/ Daniel R. Marx, Attorney-In-Fact for Trian Fund Management, L.P.
2023-04-04