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GENERAL ELECTRIC CO

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2813
SEC CIK
0000040545
Parsed reports
2,674

Last 12 months

Inside the activity.

0 purchase rows · 15 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202604
Feb 202602
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202606
Aug 202602
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 26, 2020 Filed Feb 27, 2020 21:59 UTC
Miller Jamie SSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 34,679 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000040 · edgar.xml · derivative · entry 3

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,680

Underlying: Common Stock · 34,679 shares

Expires 2020-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 26, 2020 Filed Feb 27, 2020 21:59 UTC
Miller Jamie SSenior Vice President
Tax withholdingCommon Stock 9,933 $11.17 $110,951.61
Disclosure

SEC source: 0001231205-20-000040 · edgar.xml · nonDerivative · entry 2

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,896

Read SEC document
February 26, 2020 Filed Feb 27, 2020 21:59 UTC
Miller Jamie SSenior Vice President
Exercise / conversionCommon Stock 34,679 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000040 · edgar.xml · nonDerivative · entry 1

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,829

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:02 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 31,211 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000042 · edgar.xml · derivative · entry 3

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,212

Underlying: Common Stock · 31,211 shares

Expires 2020-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:02 UTC
Murphy Kieran PiusSenior Vice President
Tax withholdingCommon Stock 14,670 $11.17 $163,863.90
Disclosure

SEC source: 0001231205-20-000042 · edgar.xml · nonDerivative · entry 2

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,502

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:02 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionCommon Stock 31,211 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000042 · edgar.xml · nonDerivative · entry 1

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,172

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:04 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 23,131 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000044 · edgar.xml · derivative · entry 3

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,131

Underlying: Common Stock · 23,131 shares

Expires 2020-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:04 UTC
Pecresse JeromeSenior Vice President
Tax withholdingCommon Stock 11,649 $11.17 $130,119.33
Disclosure

SEC source: 0001231205-20-000044 · edgar.xml · nonDerivative · entry 2

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,571

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:04 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionCommon Stock 23,131 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000044 · edgar.xml · nonDerivative · entry 1

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,220

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:07 UTC
Stokes RussellSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 40,471 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000046 · edgar.xml · derivative · entry 3

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,471

Underlying: Common Stock · 40,471 shares

Expires 2020-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:07 UTC
Stokes RussellSenior Vice President
Tax withholdingCommon Stock 12,283 $11.17 $137,201.11
Disclosure

SEC source: 0001231205-20-000046 · edgar.xml · nonDerivative · entry 2

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,939

Read SEC document
February 26, 2020 Filed Feb 27, 2020 22:07 UTC
Stokes RussellSenior Vice President
Exercise / conversionCommon Stock 40,471 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000046 · edgar.xml · nonDerivative · entry 1

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 14, 2020 Filed Feb 19, 2020 11:52 UTC
Timko Thomas SVice President
Exercise / conversionRestricted Stock Units · Derivative 13,178 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000036 · edgar.xml · derivative · entry 4

Timko Thomas S · CIK 0001368469 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,356

Underlying: Common Stock · 13,178 shares

Expires 2020-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 14, 2020 Filed Feb 19, 2020 11:52 UTC
Timko Thomas SVice President
Tax withholdingCommon Stock 3,848 $12.91 $49,677.68
Disclosure

SEC source: 0001231205-20-000036 · edgar.xml · nonDerivative · entry 2

Timko Thomas S · CIK 0001368469 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,343

Read SEC document
February 14, 2020 Filed Feb 19, 2020 11:52 UTC
Timko Thomas SVice President
Exercise / conversionCommon Stock 13,178 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000036 · edgar.xml · nonDerivative · entry 1

Timko Thomas S · CIK 0001368469 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,191

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:47 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000027 · edgar.xml · derivative · entry 3

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,404

Underlying: Common Stock · 5,201 shares

Expires 2020-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:47 UTC
Murphy Kieran PiusSenior Vice President
Tax withholdingCommon Stock 2,445 $12.87 $31,467.15
Disclosure

SEC source: 0001231205-20-000027 · edgar.xml · nonDerivative · entry 2

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,961

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:47 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionCommon Stock 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000027 · edgar.xml · nonDerivative · entry 1

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,406

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:50 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000029 · edgar.xml · derivative · entry 3

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,808

Underlying: Common Stock · 10,403 shares

Expires 2020-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:50 UTC
Pecresse JeromeSenior Vice President
Tax withholdingCommon Stock 5,239 $12.87 $67,425.93
Disclosure

SEC source: 0001231205-20-000029 · edgar.xml · nonDerivative · entry 2

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,089

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:50 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionCommon Stock 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000029 · edgar.xml · nonDerivative · entry 1

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,328

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:52 UTC
Stokes RussellSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 8,323 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000031 · edgar.xml · derivative · entry 3

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,646

Underlying: Common Stock · 8,323 shares

Expires 2020-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:52 UTC
Stokes RussellSenior Vice President
Tax withholdingCommon Stock 2,527 $12.87 $32,522.49
Disclosure

SEC source: 0001231205-20-000031 · edgar.xml · nonDerivative · entry 2

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,751

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:52 UTC
Stokes RussellSenior Vice President
Exercise / conversionCommon Stock 8,323 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000031 · edgar.xml · nonDerivative · entry 1

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,278

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:53 UTC
Strazik ScottSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000033 · edgar.xml · derivative · entry 5

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,402

Underlying: Common Stock · 5,201 shares

Expires 2020-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:53 UTC
Strazik ScottSenior Vice President
Tax withholdingCommon Stock 1,900 $12.87 $24,453.00
Disclosure

SEC source: 0001231205-20-000033 · edgar.xml · nonDerivative · entry 2

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,314

Read SEC document
February 10, 2020 Filed Feb 11, 2020 21:53 UTC
Strazik ScottSenior Vice President
Exercise / conversionCommon Stock 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000033 · edgar.xml · nonDerivative · entry 1

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,214

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:35 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,057 $11.09 $44,992.13
Disclosure

SEC source: 0001209191-20-001022 · doc4.xml · derivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,795

Underlying: Common Stock · 4,057 shares

Expires not disclosed

F3 · security: Acquired at a price of $11.09 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 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F5 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F5 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:17 UTC GrantDeferred Fee Phantom Stock Units · Derivative 6,987 $11.09 $77,485.83
Disclosure

SEC source: 0001231205-20-000006 · edgar.xml · derivative · entry 1

Bazin Sebastien M · CIK 0001671730 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,258

Underlying: Common Stock · 6,987 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:19 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,551 $11.09 $83,740.59
Disclosure

SEC source: 0001231205-20-000008 · edgar.xml · derivative · entry 1

DSOUZA FRANCISCO · CIK 0001231715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,503

Underlying: Common Stock · 7,551 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:23 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,869 $11.09 $53,997.21
Disclosure

SEC source: 0001231205-20-000010 · edgar.xml · derivative · entry 1

HORTON THOMAS W · CIK 0001175928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,453

Underlying: Common Stock · 4,869 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:25 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,125 $11.09 $45,746.25
Disclosure

SEC source: 0001231205-20-000012 · edgar.xml · derivative · entry 1

LAVIZZO-MOUREY RISA J · CIK 0001034465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,307

Underlying: Common Stock · 4,125 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:31 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,801 $11.09 $53,243.09
Disclosure

SEC source: 0001231205-20-000017 · edgar.xml · derivative · entry 1

Reynolds Paula Rosput · CIK 0001179998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,082

Underlying: Common Stock · 4,801 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:29 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,328 $11.09 $47,997.52
Disclosure

SEC source: 0001231205-20-000015 · edgar.xml · derivative · entry 1

LESJAK CATHERINE A · CIK 0001256992 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,315

Underlying: Common Stock · 4,328 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:33 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,438 $11.09 $82,487.42
Disclosure

SEC source: 0001231205-20-000019 · edgar.xml · derivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,801

Underlying: Common Stock · 7,438 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 21:39 UTC GrantDeferred Fee Phantom Stock Units · Derivative 6,424 $11.09 $71,242.16
Disclosure

SEC source: 0001231205-20-000021 · edgar.xml · derivative · entry 1

TISCH JAMES S · CIK 0001010178 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,898

Underlying: Common Stock · 6,424 shares

Expires not disclosed

F1 · security: Acquired at a price of $11.09 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan. Payable beginning one year after termination of service as a director.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 21:41 UTC
Joyce David LeonVice Chairman
Exercise / conversionRestricted Stock Unit · Derivative 156,057 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000004 · edgar.xml · derivative · entry 4

Joyce David Leon · CIK 0001685062 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 156,057 shares

Expires 2019-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

Read SEC document
December 31, 2019 Filed Jan 2, 2020 21:41 UTC
Joyce David LeonVice Chairman
Tax withholdingCommon Stock 68,744 $11.06 $760,308.64
Disclosure

SEC source: 0001231205-20-000004 · edgar.xml · nonDerivative · entry 2

Joyce David Leon · CIK 0001685062 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 687,102

Read SEC document
December 31, 2019 Filed Jan 2, 2020 21:41 UTC
Joyce David LeonVice Chairman
Exercise / conversionCommon Stock 156,057 $0.00 $0.00
Disclosure

SEC source: 0001231205-20-000004 · edgar.xml · nonDerivative · entry 1

Joyce David Leon · CIK 0001685062 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 755,846

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
October 01, 2019 Filed Oct 1, 2019 21:18 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,943 $9.10 $44,981.30
Disclosure

SEC source: 0001209191-19-051332 · doc4.xml · derivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,703

Underlying: Common Stock · 4,943 shares

Expires not disclosed

F3 · security: 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 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F5 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F5 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

Read SEC document
October 01, 2019 Filed Oct 1, 2019 21:05 UTC GrantDeferred Fee Phantom Stock Units · Derivative 8,512 $9.10 $77,459.20
Disclosure

SEC source: 0001231205-19-000195 · edgar.xml · derivative · entry 1

Bazin Sebastien M · CIK 0001671730 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,199

Underlying: Common Stock · 8,512 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:07 UTC GrantDeferred Fee Phantom Stock Units · Derivative 9,199 $9.10 $83,710.90
Disclosure

SEC source: 0001231205-19-000197 · edgar.xml · derivative · entry 1

DSOUZA FRANCISCO · CIK 0001231715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,841

Underlying: Common Stock · 9,199 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:08 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,931 $9.10 $53,972.10
Disclosure

SEC source: 0001231205-19-000199 · edgar.xml · derivative · entry 1

HORTON THOMAS W · CIK 0001175928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,554

Underlying: Common Stock · 5,931 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:11 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,025 $9.10 $45,727.50
Disclosure

SEC source: 0001231205-19-000201 · edgar.xml · derivative · entry 1

LAVIZZO-MOUREY RISA J · CIK 0001034465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,137

Underlying: Common Stock · 5,025 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:14 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,272 $9.10 $47,975.20
Disclosure

SEC source: 0001231205-19-000203 · edgar.xml · derivative · entry 1

LESJAK CATHERINE A · CIK 0001256992 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,980

Underlying: Common Stock · 5,272 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:15 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,849 $9.10 $53,225.90
Disclosure

SEC source: 0001231205-19-000205 · edgar.xml · derivative · entry 1

Reynolds Paula Rosput · CIK 0001179998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,268

Underlying: Common Stock · 5,849 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:18 UTC GrantDeferred Fee Phantom Stock Units · Derivative 9,061 $9.10 $82,455.10
Disclosure

SEC source: 0001231205-19-000207 · edgar.xml · derivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,315

Underlying: Common Stock · 9,061 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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October 01, 2019 Filed Oct 1, 2019 21:19 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,826 $9.10 $71,216.60
Disclosure

SEC source: 0001231205-19-000209 · edgar.xml · derivative · entry 1

TISCH JAMES S · CIK 0001010178 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,320

Underlying: Common Stock · 7,826 shares

Expires not disclosed

F1 · security: 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.

F2 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of common stock.

F3 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F3 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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September 30, 2019 Filed Oct 1, 2019 21:21 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 3,641 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000211 · edgar.xml · derivative · entry 3

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,282

Underlying: Common Stock · 3,641 shares

Expires 2019-09-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 1 for 1

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September 30, 2019 Filed Oct 1, 2019 21:21 UTC
Pecresse JeromeSenior Vice President
Tax withholdingCommon Stock 1,940 $9.02 $17,498.80
Disclosure

SEC source: 0001231205-19-000211 · edgar.xml · nonDerivative · entry 2

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,925

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.