General Electric Company Director/PDMR Shareholding
2024年4月5日 - 3:00PM
RNS Regulatory News
RNS Number : 4125J
General Electric Company
04 April 2024
SEC Form 4
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FORM 4
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UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
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OMB
APPROVAL
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OMB Number:
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3235-0287
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Estimated average burden
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hours per response:
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0.5
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Check this box if no longer subject
to Section 16. Form 4 or Form 5 obligations may continue.
See Instruction
1(b).
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1. Name and Address of Reporting
Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GE
Vernova Inc. [ GEV ]
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5. Relationship of Reporting
Person(s) to Issuer
(Check all applicable)
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Director
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10% Owner
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Officer (give title
below)
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X
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Other (specify below)
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Former
10% Owner
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3. Date of Earliest Transaction
(Month/Day/Year)
04/02/2024
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4. If Amendment, Date of Original
Filed (Month/Day/Year)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
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Form filed by One Reporting
Person
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Form filed by More than One Reporting
Person
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Rule 10b5-1(c) Transaction
Indication
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Check this box to indicate that a
transaction was made pursuant to a contract, instruction or written
plan that is intended to satisfy the affirmative defense conditions
of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative
Securities Acquired, Disposed of, or Beneficially
Owned
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1.
Title of Security (Instr. 3)
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2.
Transaction Date (Month/Day/Year)
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2A.
Deemed Execution Date, if any (Month/Day/Year)
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3.
Transaction Code (Instr. 8)
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4.
Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and
5)
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5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr. 3 and 4)
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6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code
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V
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Amount
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(A)
or (D)
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Price
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Common stock, par value $0.01 per
share(1)
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04/02/2024
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J(2)
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274,085,523
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D
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(2)
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0
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D
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Table II - Derivative
Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1.
Title of Derivative Security (Instr. 3)
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2.
Conversion or Exercise Price of Derivative
Security
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3.
Transaction Date (Month/Day/Year)
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3A.
Deemed Execution Date, if any (Month/Day/Year)
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4.
Transaction Code (Instr. 8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6.
Date Exercisable and Expiration Date
(Month/Day/Year)
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7.
Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8.
Price of Derivative Security (Instr. 5)
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9.
Number of derivative Securities Beneficially Owned Following
Reported Transaction(s) (Instr. 4)
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10.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code
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V
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(A)
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(D)
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Date
Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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1. On March 8, 2024, General Electric
Company, a New York corporation ("GE"), reported that it owned 100
shares, par value $0.01 per share, of GE Vernova LLC, which at the
time constituted all of the issued and outstanding limited
liability company units of GE Vernova LLC. On April 1, 2024, GE
Vernova LLC converted from a limited liability company to a
corporation and changed its name to GE Vernova Inc. In connection
therewith, the outstanding shares of GE Vernova Inc. changed to
274,085,523 shares of common stock, par value $0.01 per
share.
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2. The record date for the
distribution by GE of all of the shares of common stock of GE
Vernova Inc. to the holders of GE common shares was March 19, 2024
(the "Spin-Off"). The Spin-Off occurred before the market open on
April 2, 2024.
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/s/ Brandon Smith, Vice President,
Chief Corporate, Securities & Finance Counsel
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04/04/2024
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** Signature of Reporting
Person
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Date
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Reminder: Report on a separate line
for each class of securities beneficially owned directly or
indirectly.
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* If the form is filed by more than
one reporting person, see
Instruction 4 (b)(v).
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** Intentional misstatements or
omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15
U.S.C. 78ff(a).
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Note: File three copies of this
Form, one of which must be manually signed. If space is
insufficient, see
Instruction 6 for procedure.
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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.
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END
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