11 May 2020 07:00
SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934or Section 30(h) of the Investment Company Act of 1940 |
| ||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)05/05/2020 | 3. Issuer Name and Ticker or Trading SymbolGENERAL ELECTRIC CO [ GE ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer(Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
Table I - Non-Derivative Securities Beneficially Owned | |||
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | $0 | D | |
Table II - Derivative Securities Beneficially Owned(e.g., puts, calls, warrants, options, convertible securities) | |||||||
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Explanation of Responses: |
Brian Sandstrom on behalf of Ashton B. Carter | 05/08/2020 | |
** 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, 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 candidate for General Electric Company (GE) and, in the event that I am elected or apppointed to the board of GE, and until further written notice, I hereby individually authorize Christoph Pereira (GE's Vice President, Vice President, Chief Risk Officer and Chief Corporate Counsel), Brian Sandstrom (GE's Executive Corporate, Securities and Finance Counsel), Brandon Smith (GE's Executive Corporate, Securities
and Finance Counsel) and Julia Chen (GE's Corporate, Securities and Finance Counsel) 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.
Date: 1/31/2020
Signed: /s/ Ashton B. Carter
Gen.electric (GEC)