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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

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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
July 28, 2019 Filed Jul 30, 2019 21:40 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000149 · edgar.xml · derivative · entry 3

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,808

Underlying: Common Stock · 10,403 shares

Expires 2019-07-28

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
July 28, 2019 Filed Jul 30, 2019 21:40 UTC
Murphy Kieran PiusSenior Vice President
Tax withholdingCommon Stock 4,890 $10.47 $51,198.30
Disclosure

SEC source: 0001231205-19-000149 · edgar.xml · nonDerivative · entry 2

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,134

Read SEC document
July 28, 2019 Filed Jul 30, 2019 21:40 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionCommon Stock 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000149 · edgar.xml · nonDerivative · entry 1

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,024

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
July 28, 2019 Filed Jul 30, 2019 21:42 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000151 · 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 2019-07-28

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
July 28, 2019 Filed Jul 30, 2019 21:42 UTC
Pecresse JeromeSenior Vice President
Tax withholdingCommon Stock 5,722 $10.47 $59,909.34
Disclosure

SEC source: 0001231205-19-000151 · edgar.xml · nonDerivative · entry 2

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,861

Read SEC document
July 28, 2019 Filed Jul 30, 2019 21:42 UTC
Pecresse JeromeSenior Vice President
Exercise / conversionCommon Stock 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000151 · edgar.xml · nonDerivative · entry 1

Pecresse Jerome · CIK 0001752021 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,583

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
July 28, 2019 Filed Jul 30, 2019 21:44 UTC
Strazik ScottSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000153 · edgar.xml · derivative · entry 5

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,808

Underlying: Common Stock · 10,403 shares

Expires 2019-07-28

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
July 28, 2019 Filed Jul 30, 2019 21:44 UTC
Strazik ScottSenior Vice President
Tax withholdingCommon Stock 4,880 $10.47 $51,093.60
Disclosure

SEC source: 0001231205-19-000153 · edgar.xml · nonDerivative · entry 2

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,273

Read SEC document
July 28, 2019 Filed Jul 30, 2019 21:44 UTC
Strazik ScottSenior Vice President
Exercise / conversionCommon Stock 10,403 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000153 · edgar.xml · nonDerivative · entry 1

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,153

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
July 24, 2019 Filed Jul 25, 2019 20:16 UTC
Miller Jamie SSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 15,605 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000139 · edgar.xml · derivative · entry 3

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,605 shares

Expires 2019-07-24

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
July 24, 2019 Filed Jul 25, 2019 20:16 UTC
Miller Jamie SSenior Vice President
Tax withholdingCommon Stock 7,017 $10.62 $74,520.54
Disclosure

SEC source: 0001231205-19-000139 · edgar.xml · nonDerivative · entry 2

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,166

Read SEC document
July 24, 2019 Filed Jul 25, 2019 20:16 UTC
Miller Jamie SSenior Vice President
Exercise / conversionCommon Stock 15,605 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000139 · edgar.xml · nonDerivative · entry 1

Miller Jamie S · CIK 0001290697 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,183

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
July 24, 2019 Filed Jul 25, 2019 20:20 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000141 · edgar.xml · derivative · entry 3

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,201 shares

Expires 2019-07-24

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
July 24, 2019 Filed Jul 25, 2019 20:20 UTC
Murphy Kieran PiusSenior Vice President
Tax withholdingCommon Stock 2,445 $10.62 $25,965.90
Disclosure

SEC source: 0001231205-19-000141 · edgar.xml · nonDerivative · entry 2

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,621

Read SEC document
July 24, 2019 Filed Jul 25, 2019 20:20 UTC
Murphy Kieran PiusSenior Vice President
Exercise / conversionCommon Stock 5,201 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000141 · edgar.xml · nonDerivative · entry 1

Murphy Kieran Pius · CIK 0001667685 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,066

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
July 24, 2019 Filed Jul 25, 2019 20:24 UTC
Stokes RussellSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 15,605 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000143 · edgar.xml · derivative · entry 3

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,605 shares

Expires 2019-07-24

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
July 24, 2019 Filed Jul 25, 2019 20:24 UTC
Stokes RussellSenior Vice President
Tax withholdingCommon Stock 7,017 $10.62 $74,520.54
Disclosure

SEC source: 0001231205-19-000143 · edgar.xml · nonDerivative · entry 2

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,670

Read SEC document
July 24, 2019 Filed Jul 25, 2019 20:24 UTC
Stokes RussellSenior Vice President
Exercise / conversionCommon Stock 15,605 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000143 · edgar.xml · nonDerivative · entry 1

Stokes Russell · CIK 0001752122 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,687

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
July 24, 2019 Filed Jul 25, 2019 20:26 UTC
Strazik ScottSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 3,121 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000145 · edgar.xml · derivative · entry 5

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,121 shares

Expires 2019-07-24

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
July 24, 2019 Filed Jul 25, 2019 20:26 UTC
Strazik ScottSenior Vice President
Tax withholdingCommon Stock 1,490 $10.62 $15,823.80
Disclosure

SEC source: 0001231205-19-000145 · edgar.xml · nonDerivative · entry 2

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,750

Read SEC document
July 24, 2019 Filed Jul 25, 2019 20:26 UTC
Strazik ScottSenior Vice President
Exercise / conversionCommon Stock 3,121 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000145 · edgar.xml · nonDerivative · entry 1

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,240

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
July 01, 2019 Filed Jul 2, 2019 20:20 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,633 $10.20 $47,256.60
Disclosure

SEC source: 0001209191-19-040271 · 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: 30,736

Underlying: Common Stock · 4,633 shares

Expires not disclosed

F3 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:12 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,660 $10.20 $78,132.00
Disclosure

SEC source: 0001231205-19-000126 · edgar.xml · derivative · entry 1

Bazin Sebastien M · CIK 0001671730 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,632

Underlying: Common Stock · 7,660 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:14 UTC GrantDeferred Fee Phantom Stock Units · Derivative 8,335 $10.20 $85,017.00
Disclosure

SEC source: 0001231205-19-000127 · edgar.xml · derivative · entry 1

DSOUZA FRANCISCO · CIK 0001231715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,554

Underlying: Common Stock · 8,335 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:15 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,442 $10.20 $55,508.40
Disclosure

SEC source: 0001231205-19-000128 · edgar.xml · derivative · entry 1

HORTON THOMAS W · CIK 0001175928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,603

Underlying: Common Stock · 5,442 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:17 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,670 $10.20 $47,634.00
Disclosure

SEC source: 0001231205-19-000129 · edgar.xml · derivative · entry 1

LAVIZZO-MOUREY RISA J · CIK 0001034465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,077

Underlying: Common Stock · 4,670 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:18 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,633 $10.20 $47,256.60
Disclosure

SEC source: 0001231205-19-000130 · edgar.xml · derivative · entry 1

LESJAK CATHERINE A · CIK 0001256992 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,706

Underlying: Common Stock · 4,633 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:19 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,890 $10.20 $49,878.00
Disclosure

SEC source: 0001231205-19-000131 · edgar.xml · derivative · entry 1

Reynolds Paula Rosput · CIK 0001179998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,412

Underlying: Common Stock · 4,890 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:21 UTC GrantDeferred Fee Phantom Stock Units · Derivative 8,457 $10.20 $86,261.40
Disclosure

SEC source: 0001231205-19-000132 · edgar.xml · derivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,220

Underlying: Common Stock · 8,457 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
July 01, 2019 Filed Jul 2, 2019 20:26 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,354 $10.20 $75,010.80
Disclosure

SEC source: 0001231205-19-000133 · edgar.xml · derivative · entry 1

TISCH JAMES S · CIK 0001010178 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,369

Underlying: Common Stock · 7,354 shares

Expires not disclosed

F1 · security: Acquired at a price of $10.20 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
May 24, 2019 Filed May 24, 2019 21:07 UTC SaleCommon stock, par value $0.06 per share 3,370,314 $9.53 $32,119,429.45
Disclosure

SEC source: 0001209191-19-032762 · doc4.xml · nonDerivative · entry 3

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: Indirect · Please see explanation below

Disclosed balance after: 64,191,203

F1 · kind: Represents sales made for portfolio management reasons, including the expiration of the applicable lockup period of a co-investment fund.

F6 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $9.44 - $9.665. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Master Fund (ERISA), L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) X, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F4 · ownership.nature: (FN 3, contd.) 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 Trian Management on behalf of the Trian Entities. 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 the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their 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.

Read SEC document
May 23, 2019 Filed May 24, 2019 21:07 UTC SaleCommon stock, par value $0.06 per share 2,000,000 $9.58 $19,150,600.00
Disclosure

SEC source: 0001209191-19-032762 · doc4.xml · nonDerivative · 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: Indirect · Please see explanation below

Disclosed balance after: 67,561,517

F1 · kind: Represents sales made for portfolio management reasons, including the expiration of the applicable lockup period of a co-investment fund.

F5 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $9.55 - $9.615. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Master Fund (ERISA), L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) X, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F4 · ownership.nature: (FN 3, contd.) 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 Trian Management on behalf of the Trian Entities. 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 the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their 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.

Read SEC document
May 23, 2019 Filed May 28, 2019 20:17 UTC PurchaseCommon Stock 10,000 $9.75 $97,500.00
Disclosure

SEC source: 0001231205-19-000117 · edgar.xml · nonDerivative · entry 1

LAVIZZO-MOUREY RISA J · CIK 0001034465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Read SEC document
May 22, 2019 Filed May 24, 2019 21:07 UTC SaleCommon stock, par value $0.06 per share 1,289,538 $10.02 $12,926,844.73
Disclosure

SEC source: 0001209191-19-032762 · doc4.xml · nonDerivative · entry 1

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: Indirect · Please see explanation below

Disclosed balance after: 69,561,517

F1 · kind: Represents sales made for portfolio management reasons, including the expiration of the applicable lockup period of a co-investment fund.

F2 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $10.00 - $10.105. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Master Fund (ERISA), L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Co-Investment Opportunities Fund, Ltd., Trian SPV (Sub) X, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F4 · ownership.nature: (FN 3, contd.) 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 Trian Management on behalf of the Trian Entities. 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 the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their 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.

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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 86,698 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · derivative · entry 6

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,397

Underlying: Common Stock · 86,698 shares

Expires 2019-04-24

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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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 35,338 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · derivative · entry 5

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,676

Underlying: Common Stock · 35,338 shares

Expires 2019-04-24

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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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Tax withholdingCommon Stock 38,538 $9.27 $357,247.26
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · nonDerivative · entry 4

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,790

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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Exercise / conversionCommon Stock 86,698 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · nonDerivative · entry 3

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,328

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.

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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Tax withholdingCommon Stock 15,708 $9.27 $145,613.16
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · nonDerivative · entry 2

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,630

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April 24, 2019 Filed Apr 26, 2019 20:24 UTC
Holston Michael JSenior Vice President
Exercise / conversionCommon Stock 35,338 $0.00 $0.00
Disclosure

SEC source: 0001231205-19-000115 · edgar.xml · nonDerivative · entry 1

Holston Michael J · CIK 0001390613 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,338

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.

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April 11, 2019 Filed Apr 15, 2019 20:29 UTC
Strazik ScottSenior Vice President
GrantEmployee Stock Option (right to buy) · Derivative 60,995 $0.00 Strike: $9.12 $0.00
Disclosure

SEC source: 0001231205-19-000113 · edgar.xml · derivative · entry 4

Strazik Scott · CIK 0001763642 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,995

Underlying: Common Stock · 60,995 shares

Expires 2029-04-11

F1 · derivative.exercise_date: The Stock Options become exercisable in two equal installments of 50% each on the second and third anniversary of the grant date.

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April 01, 2019 Filed Apr 2, 2019 20:55 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,975 $9.95 $49,501.25
Disclosure

SEC source: 0001209191-19-022616 · 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: 26,080

Underlying: Common Stock · 4,975 shares

Expires not disclosed

F3 · security: Acquired at a price of $9.95 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.

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April 01, 2019 Filed Apr 2, 2019 20:28 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,915 $9.95 $78,754.25
Disclosure

SEC source: 0001231205-19-000092 · edgar.xml · derivative · entry 1

Bazin Sebastien M · CIK 0001671730 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,918

Underlying: Common Stock · 7,915 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:30 UTC GrantDeferred Fee Phantom Stock Units · Derivative 8,417 $9.95 $83,749.15
Disclosure

SEC source: 0001231205-19-000094 · edgar.xml · derivative · entry 1

Beattie William G · CIK 0001466308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,016

Underlying: Common Stock · 8,417 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:32 UTC GrantDeferred Fee Phantom Stock Units · Derivative 7,789 $9.95 $77,500.55
Disclosure

SEC source: 0001231205-19-000096 · edgar.xml · derivative · entry 1

DSOUZA FRANCISCO · CIK 0001231715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,126

Underlying: Common Stock · 7,789 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:34 UTC GrantDeferred Fee Phantom Stock Units · Derivative 5,578 $9.95 $55,501.10
Disclosure

SEC source: 0001231205-19-000098 · edgar.xml · derivative · entry 1

HORTON THOMAS W · CIK 0001175928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,144

Underlying: Common Stock · 5,578 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:37 UTC GrantDeferred Fee Phantom Stock Units · Derivative 6,633 $9.95 $65,998.35
Disclosure

SEC source: 0001231205-19-000100 · edgar.xml · derivative · entry 1

LAVIZZO-MOUREY RISA J · CIK 0001034465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,374

Underlying: Common Stock · 6,633 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:39 UTC GrantDeferred Fee Phantom Stock Units · Derivative 2,073 $9.95 $20,626.35
Disclosure

SEC source: 0001231205-19-000102 · edgar.xml · derivative · entry 1

LESJAK CATHERINE A · CIK 0001256992 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,073

Underlying: Common Stock · 2,073 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:41 UTC GrantDeferred Fee Phantom Stock Units · Derivative 8,543 $9.95 $85,002.85
Disclosure

SEC source: 0001231205-19-000104 · edgar.xml · derivative · entry 1

MULVA JAMES J · CIK 0001234272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,115

Underlying: Common Stock · 8,543 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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April 01, 2019 Filed Apr 2, 2019 20:44 UTC GrantDeferred Fee Phantom Stock Units · Derivative 4,673 $9.95 $46,496.35
Disclosure

SEC source: 0001231205-19-000106 · edgar.xml · derivative · entry 1

Reynolds Paula Rosput · CIK 0001179998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,518

Underlying: Common Stock · 4,673 shares

Expires not disclosed

F1 · security: Acquired at a price of $9.95 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.