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TRIAN FUND MANAGEMENT, L.P.

Disclosed activity across 14 companies

Tapewire entity
11449
SEC CIK
0001345471

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Bank of New York Mellon CorpBK · Entity 2899DirectorMay 02, 2019May 06, 2019
GENERAL ELECTRIC COGE · Entity 2813DirectorDecember 29, 2023January 03, 2024
LEGG MASON, INC.LM · Entity 15820DirectorMay 20, 2020May 22, 2020
Mondelez International, Inc.MDLZ · Entity 2953DirectorDecember 07, 2021December 09, 2021
PENTAIR plcPNR · Entity 3537DirectorAugust 13, 2018August 15, 2018
PROCTER & GAMBLE CoPG · Entity 2814DirectorAugust 31, 2021September 02, 2021
SYSCO CORPSYY · Entity 2003DirectorJune 07, 2021June 09, 2021
Wendy's CoWEN · Entity 4659Director · 10% ownerAugust 08, 2024August 10, 2024
nVent Electric plcNVT · Entity 3202DirectorJanuary 02, 2020January 06, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Bank of New York Mellon Corp

Report date May 02, 2019 · Filed May 06, 2019

Jointly reported with GARDEN EDWARD P

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below12,606,465 Last balance in matching sequence After 2019-05-03 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2019-05-02 · Sale · Disposed 108,214 · Balance 13,120,058

F1: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $50.00 to $50.33. 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 sold at each separate price.

F2: 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 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-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F3: (FN 2, 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.

Row 2 · 2019-05-03 · Sale · Disposed 513,593 · Balance 12,606,465

F4: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $50.00 to $50.27. 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 sold at each separate price.

F2: 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 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-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F3: (FN 2, 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.

Filing footnotes · ownership attribution and instrument terms

F1: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $50.00 to $50.33. 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 sold at each separate price.

F2: 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 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-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F3: (FN 2, 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.

F4: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $50.00 to $50.27. 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 sold at each separate price.

GENERAL ELECTRIC CO

Report date December 29, 2023 · Filed January 03, 2024

Jointly reported with GARDEN EDWARD P

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Deferred Fee Phantom Stock UnitsSEC Table II · derivative / convertible securityDirect13,799 Reported balance After 2023-12-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-12-29 · Grant · Acquired 364 · Balance 13,799

F2: Acquired at a price of $123.54 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

F3: Each unit of phantom stock is the economic equivalent of one share of the Issuer's common stock.

F4: Payable beginning one year after termination of service as a director.

Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectPlease see explanation below4,016,414 Reported balance Holding disclosure · report date 2023-12-29 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 4,016,414

F1: 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 Senior Advisor to Trian Management, and a limited partner of an affiliate of Trian SPV X, and as such has an indirect interest in the shares of the Issuer held by Trian SPV X. 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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 Senior Advisor to Trian Management, and a limited partner of an affiliate of Trian SPV X, and as such has an indirect interest in the shares of the Issuer held by Trian SPV X. 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.

F2: Acquired at a price of $123.54 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

F3: Each unit of phantom stock is the economic equivalent of one share of the Issuer's common stock.

F4: Payable beginning one year after termination of service as a director.

LEGG MASON, INC.

Report date May 20, 2020 · Filed May 22, 2020

Jointly reported with GARDEN EDWARD P

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below0 Reported balance After 2020-05-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-05-20 · Sale · Disposed 2,457,808 · Balance 0

F1: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $49.775 to $49.8350. 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 sold at each separate price.

F2: 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 Parallel Fund I, 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, 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. 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 its own behalf and on behalf of the Trian Entities.

F3: (FN 2, contd.) Accordingly, Mr. Garden, 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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.

Filing footnotes · ownership attribution and instrument terms

F1: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $49.775 to $49.8350. 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 sold at each separate price.

F2: 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 Parallel Fund I, 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, 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. 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 its own behalf and on behalf of the Trian Entities.

F3: (FN 2, contd.) Accordingly, Mr. Garden, 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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.

Mondelez International, Inc.

Report date December 07, 2021 · Filed December 09, 2021

Jointly reported with MAY PETER W

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectPlease see explanation below1,084,028 Reported balance After 2021-12-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-12-07 · Sale · Disposed 847,696 · Balance 1,084,028

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $61.50 - $61.915. 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 sold at each separate price.

F3: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P. and Trian Partners Strategic Fund-G III, L.P. (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. Mr. May 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 its own behalf and on behalf of the Trian Entities.

F4: (FN3, contd.) Accordingly, Mr. May 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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. May is a director of the Issuer.

Class A Common StockSEC Table I · non-derivativeIndirectPlease see explanation below560,621 Reported balance After 2021-12-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-12-08 · Sale · Disposed 533,407 · Balance 560,621

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $60.04 - $60.895. 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 sold at each separate price.

F3: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P. and Trian Partners Strategic Fund-G III, L.P. (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. Mr. May 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 its own behalf and on behalf of the Trian Entities.

F4: (FN3, contd.) Accordingly, Mr. May 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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. May is a director of the Issuer.

Class A Common StockSEC Table I · non-derivativeIndirectPlease see explanation below434,028 Reported balance After 2021-12-08 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2021-12-08 · Sale · Disposed 116,593 · Balance 434,028

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F6: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $60.90 - $61.20. 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 sold at each separate price.

F3: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P. and Trian Partners Strategic Fund-G III, L.P. (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. Mr. May 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 its own behalf and on behalf of the Trian Entities.

F4: (FN3, contd.) Accordingly, Mr. May 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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. May is a director of the Issuer.

Class A Common StockSEC Table I · non-derivativeDirect16,156 Reported balance Holding disclosure · report date 2021-12-07 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 16,156

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $61.50 - $61.915. 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 sold at each separate price.

F3: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P. and Trian Partners Strategic Fund-G III, L.P. (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. Mr. May 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 its own behalf and on behalf of the Trian Entities.

F4: (FN3, contd.) Accordingly, Mr. May 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 Management and the Trian Entities and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities 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. May is a director of the Issuer.

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $60.04 - $60.895. 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 sold at each separate price.

F6: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $60.90 - $61.20. 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 sold at each separate price.

PENTAIR plc

Report date August 13, 2018 · Filed August 15, 2018

Jointly reported with Peltz Matthew H.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common (Ordinary) SharesSEC Table I · non-derivativeIndirectPlease see explanation below12,036,582 Reported balance After 2018-08-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-08-13 · Sale · Disposed 1,700,000 · Balance 12,036,582

F1: The sale reported in this Form 4 was done for portfolio management purposes.

F2: 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 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F3: (FN 2, contd.) Mr. Peltz is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Peltz is a director of the Issuer.

Common (Ordinary) Shares - Restricted Stock UnitsSEC Table I · non-derivativeDirect2,862 Reported balance Holding disclosure · report date 2018-08-13 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 2,862

Filing footnotes · ownership attribution and instrument terms

F1: The sale reported in this Form 4 was done for portfolio management purposes.

F2: 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 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F3: (FN 2, contd.) Mr. Peltz is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Peltz is a director of the Issuer.

PROCTER & GAMBLE Co

Report date August 31, 2021 · Filed September 02, 2021

Jointly reported with PELTZ NELSON

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below5,264,066 Last balance in matching sequence After 2021-08-31 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-08-31 · Sale · Disposed 150,182 · Balance 5,320,884

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $142.05 to $142.24. 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 sold at each separate price.

F3: 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 Parallel Fund I, 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Co-Investment Opportunities Fund, 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: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer.

Row 2 · 2021-08-31 · Sale · Disposed 56,818 · Balance 5,264,066

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $143.01 to $143.34. 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 sold at each separate price.

F3: 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 Parallel Fund I, 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Co-Investment Opportunities Fund, 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: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer.

Common StockSEC Table I · non-derivativeDirect5,457 Reported balance Holding disclosure · report date 2021-08-31 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 5,457

F6: Total includes grant of dividend equivalents in the form of Restricted Stock Units (RSUs) settled in common stock.

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $142.05 to $142.24. 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 sold at each separate price.

F3: 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 Parallel Fund I, 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund G-III, L.P., Trian Partners Strategic Fund-K, L.P. and Trian Partners Co-Investment Opportunities Fund, 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: (FN 3, contd.) Mr. Peltz 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. Peltz 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. Peltz is a director of the Issuer.

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $143.01 to $143.34. 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 sold at each separate price.

F6: Total includes grant of dividend equivalents in the form of Restricted Stock Units (RSUs) settled in common stock.

SYSCO CORP

Report date June 07, 2021 · Filed June 09, 2021

Jointly reported with Frank Joshua D.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below17,866,044 Last balance in matching sequence After 2021-06-08 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-06-07 · Sale · Disposed 650,000 · Balance 18,666,044

F1: Represents sales of shares made in connection with the expiration of a multi-year lockup period of a Trian Entity (as defined below).

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $79.36 to $79.87. The Reporting Person 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: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners CoInvestment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Fund (Sub)-G,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 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: (FN 3, contd.) Mr. Frank is a limited partner of Trian Partners SPV XI GP, L.P. ("SPV XI GP") and certain affiliates of the Trian Entities and therefore may be deemed to have an indirect interest in the shares held by SPV XI GP, the Trian Entities and Trian Management. 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. Frank is a director of the Issuer.

Row 2 · 2021-06-08 · Sale · Disposed 800,000 · Balance 17,866,044

F1: Represents sales of shares made in connection with the expiration of a multi-year lockup period of a Trian Entity (as defined below).

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $79.8950 to $80.52. The Reporting Person 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: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners CoInvestment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Fund (Sub)-G,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 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: (FN 3, contd.) Mr. Frank is a limited partner of Trian Partners SPV XI GP, L.P. ("SPV XI GP") and certain affiliates of the Trian Entities and therefore may be deemed to have an indirect interest in the shares held by SPV XI GP, the Trian Entities and Trian Management. 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. Frank is a director of the Issuer.

Common StockSEC Table I · non-derivativeDirect4,840 Reported balance Holding disclosure · report date 2021-06-07 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 4,840

Filing footnotes · ownership attribution and instrument terms

F1: Represents sales of shares made in connection with the expiration of a multi-year lockup period of a Trian Entity (as defined below).

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $79.36 to $79.87. The Reporting Person 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: 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 Parallel Fund I, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners CoInvestment Fund-A, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Fund (Sub)-G,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 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: (FN 3, contd.) Mr. Frank is a limited partner of Trian Partners SPV XI GP, L.P. ("SPV XI GP") and certain affiliates of the Trian Entities and therefore may be deemed to have an indirect interest in the shares held by SPV XI GP, the Trian Entities and Trian Management. 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. Frank is a director of the Issuer.

F5: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $79.8950 to $80.52. The Reporting Person 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.

Wendy's Co

Report date August 08, 2024 · Filed August 10, 2024

Jointly reported with Peltz Matthew H.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Trian Partners14,943,466 Reported balance After 2024-08-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-08-08 · Sale · Disposed 1,000,000 · Balance 14,943,466

F1: 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F2: (FN 1, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively,"Trian Partners") except to the extent of their pecuniary interest 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.

Common StockSEC Table I · non-derivativeDirect110,765 Reported balance Holding disclosure · report date 2024-08-08 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 110,765

Common StockSEC Table I · non-derivativeIndirectBy Peltz 2009 Family Trust132,397 Reported balance Holding disclosure · report date 2024-08-08 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 132,397

F3: Mr. Peltz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting personis the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F4: All such shares are owned by the Peltz 2009 Family Trust. Mr. Peltz is a trustee of the trust.

Filing footnotes · ownership attribution and instrument terms

F1: 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F2: (FN 1, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively,"Trian Partners") except to the extent of their pecuniary interest 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.

F3: Mr. Peltz disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting personis the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F4: All such shares are owned by the Peltz 2009 Family Trust. Mr. Peltz is a trustee of the trust.

nVent Electric plc

Report date January 02, 2020 · Filed January 06, 2020

Jointly reported with Baldwin Brian M

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect8,724 Reported balance After 2020-01-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-01-02 · Tax withholding · Disposed 1,155 · Balance 8,724

F1: Shares surrendered to pay taxes applicable to vesting of restricted stock units.

F2: End-of-period holdings reflect the vesting of certain restricted stock units that were previously reported.

Ordinary Shares - Restricted Stock UnitsSEC Table I · non-derivativeDirect5,015 Reported balance After 2020-01-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-01-02 · Grant · Acquired 5,015 · Balance 5,015

F3: Restricted stock units granted pursuant to and subject to a vesting condition of the nVent Electric plc 2018 Omnibus Incentive Plan. Each restricted stock unit represents a right to receive one nVent Electric plc share upon vesting.

Ordinary SharesSEC Table I · non-derivativeIndirectPlease see explanation below13,542,082 Reported balance Holding disclosure · report date 2020-01-02 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 13,542,082

F4: 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 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F5: (FN 4, contd.) Mr. Baldwin is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Baldwin is a director of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Shares surrendered to pay taxes applicable to vesting of restricted stock units.

F2: End-of-period holdings reflect the vesting of certain restricted stock units that were previously reported.

F3: Restricted stock units granted pursuant to and subject to a vesting condition of the nVent Electric plc 2018 Omnibus Incentive Plan. Each restricted stock unit represents a right to receive one nVent Electric plc share upon vesting.

F4: 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 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 Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, 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.

F5: (FN 4, contd.) Mr. Baldwin is a limited partner of certain affiliates of the Trian Entities and Trian Management and therefore may be deemed to have an indirect interest in the shares which they hold. 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. Baldwin is a director of the Issuer.

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

HEINZ H J CO

Report date June 07, 2013 · Filed June 12, 2013

Jointly reported with PELTZ NELSON

Section 16 reporting ended · disclosed 2013-06-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $.25 Par ValueSEC Table I · non-derivativeIndirectPlease see explanation below0 Reported balance After 2013-06-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2013-06-07 · Disposition to issuer · Disposed 106,500 · Balance 0

F1: In connection with his service on the Board of the Issuer, Mr. Peltz previously received 6,500 shares from the Issuer. Mr. Peltz transferred these shares to Trian Management, for no consideration, pursuant to an agreement, dated as September 15, 2006, between Mr. Peltz and Trian Management relating to fees paid to Mr. Peltz in connection with his service on the Board of the Issuer.

F2: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P. ("Trian Onshore"), Trian Partners Master Fund, L.P. ("Trian Offshore") and Trian Partners Parallel Fund I, L.P. ("Parallel Fund I" and 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. Mr. Peltz 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.

F3: (FN 2, contd.) Accordingly, Mr. Peltz 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.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with his service on the Board of the Issuer, Mr. Peltz previously received 6,500 shares from the Issuer. Mr. Peltz transferred these shares to Trian Management, for no consideration, pursuant to an agreement, dated as September 15, 2006, between Mr. Peltz and Trian Management relating to fees paid to Mr. Peltz in connection with his service on the Board of the Issuer.

F2: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P. ("Trian Onshore"), Trian Partners Master Fund, L.P. ("Trian Offshore") and Trian Partners Parallel Fund I, L.P. ("Parallel Fund I" and 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. Mr. Peltz 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.

F3: (FN 2, contd.) Accordingly, Mr. Peltz 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.

Invesco Ltd.

Report date January 27, 2023 · Filed January 31, 2023

Section 16 reporting ended · disclosed 2023-01-31. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below46,205,566 Reported balance After 2023-01-27 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2023-01-27 · Sale · Disposed 2,367,477 · Balance 46,205,566

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.30 to $18.565. The Reporting Person undertakes 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 sold at each separate price.

F3: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectPlease see explanation below45,419,188 Reported balance After 2023-01-30 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2023-01-30 · Sale · Disposed 786,378 · Balance 45,419,188

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F4: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.06 to $18.225. The Reporting Person undertakes 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 sold at each separate price.

F3: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectPlease see explanation below13,634 Reported balance Holding disclosure · report date 2023-01-27 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 13,634

F5: By virtue of a fee agreement, the Reporting Person may be deemed to have shared voting power and shared dispositive power with regard to certain director shares that each of Nelson Peltz, Chief Executive Officer and a founding partner of the Reporting Person, and Ed Garden, Chief Investment Officer and a founding partner of the Reporting Person, directly and beneficially own and which each received in his former capacity as a director of the Issuer. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported in this Form 4 were done for portfolio management purposes.

F2: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.30 to $18.565. The Reporting Person undertakes 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 sold at each separate price.

F3: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F4: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.06 to $18.225. The Reporting Person undertakes 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 sold at each separate price.

F5: By virtue of a fee agreement, the Reporting Person may be deemed to have shared voting power and shared dispositive power with regard to certain director shares that each of Nelson Peltz, Chief Executive Officer and a founding partner of the Reporting Person, and Ed Garden, Chief Investment Officer and a founding partner of the Reporting Person, directly and beneficially own and which each received in his former capacity as a director of the Issuer. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Janus Henderson Group Ltd.

Report date June 30, 2026 · Filed July 03, 2026

Jointly reported with Baldwin Brian M

Section 16 reporting ended · disclosed 2026-07-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectPlease see explanation below0 Reported balance After 2026-06-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-06-30 · Other · Disposed 25,136,205 · Balance 0

F1: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F2: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F3: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

Common StockSEC Table I · non-derivativeIndirectPlease see explanation below0 Reported balance After 2026-06-30 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2026-06-30 · Disposition to issuer · Disposed 518,177 · Balance 0

F1: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F4: Represents Ordinary Shares beneficially owned by the Trian Funds that were converted into the right to receive the Merger Consideration.

F3: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F2: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F3: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

F4: Represents Ordinary Shares beneficially owned by the Trian Funds that were converted into the right to receive the Merger Consideration.

TIFFANY & CO

Report date May 25, 2017 · Filed May 30, 2017

Jointly reported with MAY PETER W

Section 16 reporting ended · disclosed 2017-05-30. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Trane Technologies plc

Report date June 05, 2014 · Filed June 05, 2014

Jointly reported with PELTZ NELSON

Section 16 reporting ended · disclosed 2014-06-05. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 30, 2026 Filed Jul 3, 2026 01:01 UTC Janus Henderson Group Ltd. JHG · Entity 15494 Disposition to issuerCommon Stock 518,177 $52.00 $26,945,204.00
Disclosure

SEC source: 0001193125-26-295182 · ownership.xml · nonDerivative · entry 2

Frank Joshua D. · CIK 0001422599 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 0

F1 · kind: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F4 · shares: Represents Ordinary Shares beneficially owned by the Trian Funds that were converted into the right to receive the Merger Consideration.

F3 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Frank is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Frank is a director of the Issuer.

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June 30, 2026 Filed Jul 3, 2026 01:01 UTC Janus Henderson Group Ltd. JHG · Entity 15494 OtherCommon Stock 25,136,205 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-26-295182 · ownership.xml · nonDerivative · entry 1

Frank Joshua D. · CIK 0001422599 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 0

F1 · kind: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F2 · kind: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F2 · price: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F3 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Frank is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Frank is a director of the Issuer.

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June 30, 2026 Filed Jul 3, 2026 01:02 UTC Janus Henderson Group Ltd. JHG · Entity 15494 Disposition to issuerCommon Stock 518,177 $52.00 $26,945,204.00
Disclosure

SEC source: 0001193125-26-295183 · ownership.xml · nonDerivative · entry 2

Baldwin Brian M · CIK 0001728954 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 0

F1 · kind: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F4 · shares: Represents Ordinary Shares beneficially owned by the Trian Funds that were converted into the right to receive the Merger Consideration.

F3 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

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June 30, 2026 Filed Jul 3, 2026 01:02 UTC Janus Henderson Group Ltd. JHG · Entity 15494 OtherCommon Stock 25,136,205 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-26-295183 · ownership.xml · nonDerivative · entry 1

Baldwin Brian M · CIK 0001728954 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 0

F1 · kind: On June 30, 2026, pursuant to that certain Agreement and Plan of Merger, dated as of December 21, 2025 (as amended, including by Amendment No. 1 dated March 24, 2026, and a side letter dated June16, 2026, the "Merger Agreement"), among the Issuer, Jupiter Company Limited ("Parent") and Jupiter Merger Sub Limited ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly owned subsidiary of Parent and changing its name to "Janus Henderson Group Ltd.". At the effective time of the Merger (the "Effective Time"), each ordinary share, par value $1.50 per share, of the Issuer (the "Ordinary Shares") (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per Ordinary Share in cash, without interest (the "Merger Consideration")

F2 · kind: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F2 · price: Immediately prior to the Effective Time, certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC ("Topco") in exchange for equity interests of Topco of equivalent value.

F3 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

Read SEC document
May 12, 2026 Filed May 14, 2026 23:36 UTC Janus Henderson Group Ltd. JHG · Entity 15494 SaleCommon Stock 6,213,418 $51.60 $320,612,990.14
Disclosure

SEC source: 0001193125-26-224632 · ownership.xml · nonDerivative · entry 1

Frank Joshua D. · CIK 0001422599 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 25,654,382

F1 · kind: The sale reported in this Form 4 was done for portfolio management purposes by certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") which primarily hold publicly traded securities. As contemplated by the Voting and Rollover Agreement dated as of December 21, 2025, entered into by and among the Issuer and the other parties thereto, an affiliate of Trian Management will roll over at least 24,750,000 shares of the Issuer in connection with the closing of the previously announced acquisition of the Issuer by Trian Management and its affiliated funds, and General Catalyst and its affiliated funds. Progress toward closing is continuing, with the Issuer's shareholders approving the acquisition on April 16, 2026. The transaction is expected to close in mid-2026, subject to customary closing conditions, including receipt of applicable regulatory approvals and client consents.

F2 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Frank is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Frank is a director of the Issuer.

Read SEC document
May 12, 2026 Filed May 14, 2026 23:35 UTC Janus Henderson Group Ltd. JHG · Entity 15494 SaleCommon Stock 6,213,418 $51.60 $320,612,990.14
Disclosure

SEC source: 0001193125-26-224631 · ownership.xml · nonDerivative · entry 1

Baldwin Brian M · CIK 0001728954 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Please see explanation below

Disclosed balance after: 25,654,382

F1 · kind: The sale reported in this Form 4 was done for portfolio management purposes by certain funds (the "Trian Funds") managed by Trian Fund Management, L.P. ("Trian Management") which primarily hold publicly traded securities. As contemplated by the Voting and Rollover Agreement dated as of December 21, 2025, entered into by and among the Issuer and the other parties thereto, an affiliate of Trian Management will roll over at least 24,750,000 shares of the Issuer in connection with the closing of the previously announced acquisition of the Issuer by Trian Management and its affiliated funds, and General Catalyst and its affiliated funds. Progress toward closing is continuing, with the Issuer's shareholders approving the acquisition on April 16, 2026. The transaction is expected to close in mid-2026, subject to customary closing conditions, including receipt of applicable regulatory approvals and client consents.

F2 · ownership.nature: Trian Management serves as the management company for the Trian Funds and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer which they hold. Mr. Baldwin is a member of the Investment Committee and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds and as such has an indirect interest in the shares of the Issuer held by the Trian Funds. 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. Baldwin is a director of the Issuer.

Read SEC document
August 08, 2024 Filed Aug 10, 2024 00:50 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,000,000 $17.18 $17,180,000.00
Disclosure

SEC source: 0000950170-24-095001 · ownership.xml · nonDerivative · entry 1

Peltz Matthew H. · CIK 0001661127 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 14,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively,"Trian Partners") except to the extent of their pecuniary interest 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.

Read SEC document
August 08, 2024 Filed Aug 10, 2024 00:48 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,000,000 $17.18 $17,180,000.00
Disclosure

SEC source: 0000950170-24-095000 · ownership.xml · nonDerivative · entry 1

MAY PETER W · CIK 0000928264 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 14,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. May is the President and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. May is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. May 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

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August 08, 2024 Filed Aug 10, 2024 00:47 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,000,000 $17.18 $17,180,000.00
Disclosure

SEC source: 0000950170-24-094999 · ownership.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 14,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Chief Executive Officer and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. Peltz is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. Peltz 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

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December 29, 2023 Filed Jan 3, 2024 21:46 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 364 $123.54 $44,968.56
Disclosure

SEC source: 0001209191-24-000422 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 13,799

Underlying: Common Stock · 364 shares

Expires not disclosed

F2 · security: Acquired at a price of $123.54 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

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

F4 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F4 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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November 14, 2023 Filed Nov 14, 2023 21:54 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,883,593 $18.76 $35,336,204.68
Disclosure

SEC source: 0001209191-23-055188 · doc4.xml · nonDerivative · entry 1

Peltz Matthew H. · CIK 0001661127 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 15,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively, "Trian Partners") except to the extent of their pecuniary interest 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.

Read SEC document
November 14, 2023 Filed Nov 14, 2023 21:52 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,883,593 $18.76 $35,336,204.68
Disclosure

SEC source: 0001209191-23-055187 · doc4.xml · nonDerivative · entry 1

MAY PETER W · CIK 0000928264 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 15,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. May is the President and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. May is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. May 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

Read SEC document
November 14, 2023 Filed Nov 14, 2023 21:48 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 1,883,593 $18.76 $35,336,204.68
Disclosure

SEC source: 0001209191-23-055183 · doc4.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 15,943,466

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Chief Executive Officer and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 1, contd.) Mr. Peltz is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. Peltz 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

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September 29, 2023 Filed Oct 3, 2023 20:52 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 397 $113.23 $44,952.31
Disclosure

SEC source: 0001209191-23-051550 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 13,426

Underlying: Common Stock · 397 shares

Expires not disclosed

F2 · security: Acquired at a price of $113.23 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

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

F4 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F4 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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August 22, 2023 Filed Aug 23, 2023 21:40 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 2,905,569 $20.30 $58,983,050.70
Disclosure

SEC source: 0001209191-23-047099 · doc4.xml · nonDerivative · entry 1

Peltz Matthew H. · CIK 0001661127 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 17,827,059

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively, "Trian Partners") except to the extent of their pecuniary interest 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.

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August 22, 2023 Filed Aug 23, 2023 21:39 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 2,905,569 $20.30 $58,983,050.70
Disclosure

SEC source: 0001209191-23-047098 · doc4.xml · nonDerivative · entry 1

MAY PETER W · CIK 0000928264 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 17,827,059

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. May is the President and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 2, contd.) Mr. May is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. May 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

Read SEC document
August 22, 2023 Filed Aug 23, 2023 21:39 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 2,905,569 $20.30 $58,983,050.70
Disclosure

SEC source: 0001209191-23-047096 · doc4.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 17,827,059

F1 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Chief Executive Officer and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F2 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. Peltz 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

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June 30, 2023 Filed Jul 5, 2023 21:02 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 426 $105.74 $45,045.24
Disclosure

SEC source: 0001209191-23-041179 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 13,019

Underlying: Common Stock · 426 shares

Expires not disclosed

F2 · security: Acquired at a price of $105.74 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

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

F4 · derivative.exercise_date: Payable beginning one year after termination of service as a director.

F4 · derivative.expiration_date: Payable beginning one year after termination of service as a director.

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June 02, 2023 Filed Jun 2, 2023 23:42 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 443,725 $22.76 $10,099,447.24
Disclosure

SEC source: 0001209191-23-034071 · doc4.xml · nonDerivative · entry 1

Peltz Matthew H. · CIK 0001661127 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 20,732,628

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.75 - $22.865. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Co-Chief Investment Officer and a partner of Trian Management, and a limited partner or member of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the shares held by Trian Management and Trian GP (collectively, "Trian Partners") except to the extent of their pecuniary interest 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.

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June 02, 2023 Filed Jun 2, 2023 23:41 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 443,725 $22.76 $10,099,447.24
Disclosure

SEC source: 0001209191-23-034069 · doc4.xml · nonDerivative · entry 1

MAY PETER W · CIK 0000928264 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 20,732,628

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.75 - $22.865. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. May is the President and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. May is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. May 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

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June 02, 2023 Filed Jun 2, 2023 23:40 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 443,725 $22.76 $10,099,447.24
Disclosure

SEC source: 0001209191-23-034068 · doc4.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 20,732,628

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.75 - $22.865. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is the Chief Executive Officer and a founding partner of Trian Management, and as such may be deemed to share voting and dispositive power with Trian Management over shares of the Issuer held by the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. Peltz 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

Read SEC document
May 22, 2023 Filed May 24, 2023 23:16 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 529,417 $22.73 $12,035,501.37
Disclosure

SEC source: 0001209191-23-032012 · doc4.xml · nonDerivative · entry 1

Peltz Matthew H. · CIK 0001661127 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 21,176,353

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.655 - $23.125. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is a limited partner in Trian Management, a member of Trian Fund Management GP, LLC, the general partner of Trian Management, and a limited partner of certain affiliates of the Trian Funds, and as such has an indirect interest in the shares of the Issuer held by the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a limited partner in Trian Partners GP, L.P. ("Trian GP") and a member of Trian Partners General Partner, LLC, the general partner of Trian GP, and as such has an indirect interest in the shares of the Issuer held by Trian GP. The reporting persons disclaim beneficial ownership of the share held by Trian Management and Trian GP (collectively, "Trian Partners") except to the extent of their pecuniary interest 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.

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May 22, 2023 Filed May 24, 2023 23:15 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 529,417 $22.73 $12,035,501.37
Disclosure

SEC source: 0001209191-23-032010 · doc4.xml · nonDerivative · entry 1

MAY PETER W · CIK 0000928264 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 21,176,353

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.655 - $23.125. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. May is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and as such is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. May is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. May 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

Read SEC document
May 22, 2023 Filed May 24, 2023 23:17 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 529,417 $22.73 $12,035,501.37
Disclosure

SEC source: 0001209191-23-032013 · doc4.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trian Partners

Disclosed balance after: 21,176,353

F1 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $22.655 - $23.125. The reporting person undertakes 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 sold at each separate price.

F2 · 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 Parallel Fund I, L.P., Trian Partners Strategic Fund-G II L.P., Trian Partners Strategic Fund-G III, L.P., and Trian Partners Strategic Fund-K, L.P. (collectively, the "Trian Funds"), and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them. Mr. Peltz is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and as such is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Funds.

F3 · ownership.nature: (FN 2, contd.) Mr. Peltz is also a member of Trian Partners General Partner, LLC ("Trian GP LLC"), the general partner of Trian Partners GP, L.P. ("Trian GP"), and as such is in a position to determine the investment and voting decisions made by Trian GP LLC on behalf of Trian GP. Accordingly, Mr. Peltz 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 owned by the Trian Funds and Trian GP (collectively, "Trian Partners"). The reporting persons disclaim beneficial ownership of such shares except to the extent of their pecuniary interest 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.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 21:53 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 495 $91.00 $45,045.00
Disclosure

SEC source: 0001209191-23-022889 · 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: No plan indicated

Ownership: Direct

Disclosed balance after: 12,584

Underlying: Common Stock · 495 shares

Expires not disclosed

F3 · security: Acquired at a price of $91.00 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

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
March 03, 2023 Filed Mar 3, 2023 23:33 UTC Wendy's Co WEN · Entity 4659 SaleCommon Stock 3,627,569 $22.05 $79,987,896.45
Disclosure

SEC source: 0001209191-23-015959 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

Trian Partners Master Fund, L.P. · CIK 0001345466 · 10% owner

Trian Partners Parallel Fund I, L.P. · CIK 0001345007 · 10% owner

Trian Partners, L.P. · CIK 0001345465 · 10% owner

Trian Partners Strategic Fund-G II, L.P. · CIK 0001691893 · 10% owner

Trian Partners Strategic Fund-G III, L.P. · CIK 0001691861 · 10% owner

Trian Partners Strategic Fund-K, L.P. · CIK 0001691898 · 10% owner

Trian Fund Management GP, LLC · CIK 0001345472 · 10% owner

Trian Partners GP, L.P. · CIK 0001363629 · 10% owner

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: 21,705,770

F1 · ownership.nature: Trian Fund Management GP, LLC ("Trian Management GP") is the general partner (the "GP") of Trian Fund Management, L.P. ("Trian Management"). Trian Management serves as the management company for Trian Partners, L.P. ("Trian Onshore"), Trian Partners Master Fund, L.P. ("Trian Offshore"), Trian Partners Parallel Fund I, L.P. ("Parallel Fund I"), Trian Partners Strategic Fund-G II, L.P. ("Fund-G II"), Trian Partners Strategic Fund-G III, L.P. ("Fund-G III"), and Trian Partners Strategic Fund-K, L.P. ("Fund-K" and collectively, the "Trian Funds") and as such determines the investment and voting decisions of the Trian Funds with respect to the shares of the Issuer held by them.

F2 · ownership.nature: (FN 2, contd.) Trian Partners General Partner, LLC ("Trian GP LLC") is the GP of Trian Partners GP, L.P. ("Trian GP"), which is the GP of Trian Onshore and Trian Offshore. Trian Partners Parallel Fund I General Partner, LLC is the GP of Parallel Fund I, Trian Partners Strategic Fund-G II General Partner, LLC is the GP of Trian Partners Strategic Fund-G II GP, L.P., which is the GP of Fund-G II, Trian Partners Strategic Fund-G III General Partner, LLC is the GP of Trian Partners Strategic Fund-G III GP, L.P., which is the GP of Fund-G III, and Trian Partners Strategic Fund-K General Partner, LLC is the GP of Trian Partners Strategic Fund-K GP, L.P., which is the GP of Fund-K.

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January 30, 2023 Filed Jan 31, 2023 22:09 UTC Invesco Ltd. IVZ · Entity 125 SaleCommon Stock 786,378 $18.11 $14,242,799.70
Disclosure

SEC source: 0001209191-23-005742 · doc4.xml · nonDerivative · entry 2

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 45,419,188

F1 · kind: The sales reported in this Form 4 were done for portfolio management purposes.

F4 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.06 to $18.225. The Reporting Person undertakes 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 sold at each separate price.

F3 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
January 27, 2023 Filed Jan 31, 2023 22:09 UTC Invesco Ltd. IVZ · Entity 125 SaleCommon Stock 2,367,477 $18.42 $43,605,848.62
Disclosure

SEC source: 0001209191-23-005742 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 46,205,566

F1 · kind: The sales reported in this Form 4 were done for portfolio management purposes.

F2 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.30 to $18.565. The Reporting Person undertakes 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 sold at each separate price.

F3 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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January 25, 2023 Filed Jan 25, 2023 23:14 UTC Invesco Ltd. IVZ · Entity 125 SaleCommon Stock 2,374,019 $18.10 $42,973,542.33
Disclosure

SEC source: 0001209191-23-004881 · doc4.xml · nonDerivative · entry 3

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 48,573,043

F1 · kind: The sales reported in this Form 4 were done for portfolio management purposes.

F5 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.00 to $18.26. The Reporting Person undertakes 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 sold at each separate price.

F3 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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January 24, 2023 Filed Jan 25, 2023 23:14 UTC Invesco Ltd. IVZ · Entity 125 SaleCommon Stock 1,011,084 $18.56 $18,769,156.73
Disclosure

SEC source: 0001209191-23-004881 · doc4.xml · nonDerivative · entry 2

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 50,947,062

F1 · kind: The sales reported in this Form 4 were done for portfolio management purposes.

F4 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.50 to $18.83. The Reporting Person undertakes 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 sold at each separate price.

F3 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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January 23, 2023 Filed Jan 25, 2023 23:14 UTC Invesco Ltd. IVZ · Entity 125 SaleCommon Stock 3,786,854 $19.02 $72,033,158.10
Disclosure

SEC source: 0001209191-23-004881 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 51,958,146

F1 · kind: The sales reported in this Form 4 were done for portfolio management purposes.

F2 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sale is $18.90 to $19.255. The Reporting Person undertakes 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 sold at each separate price.

F3 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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October 01, 2022 Filed Oct 4, 2022 21:11 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 660 $68.21 $45,018.60
Disclosure

SEC source: 0001209191-22-052367 · 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: 11,520

Underlying: Common Stock · 660 shares

Expires not disclosed

F3 · security: Acquired at a price of $68.21 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

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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October 01, 2022 Filed Jan 5, 2023 22:06 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 546 $82.41 $44,995.86
Disclosure

SEC source: 0001209191-23-001940 · 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: 12,078

Underlying: Common Stock · 546 shares

Expires not disclosed

F3 · security: Acquired at a price of $82.41 per unit pursuant to the terms of the 2022 Long-Term Incentive Plan.

F4 · derivative.exercise_price: Each unit of phantom stock is the economic equivalent of one share of the Issuer's 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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July 01, 2022 Filed Jul 6, 2022 21:03 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 647 $69.53 $44,985.91
Disclosure

SEC source: 0001209191-22-041234 · 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: 10,848

Underlying: Common Stock · 647 shares

Expires not disclosed

F3 · security: Acquired at a price of $69.53 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan.

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 04, 2022 Filed Apr 4, 2022 21:34 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 250,062 $23.46 $5,866,629.56
Disclosure

SEC source: 0001209191-22-022585 · doc4.xml · nonDerivative · entry 3

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 55,745,000

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $23.01 to $23.63. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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April 04, 2022 Filed Apr 4, 2022 21:08 UTC GENERAL ELECTRIC CO GE · Entity 2813 GrantDeferred Fee Phantom Stock Units · Derivative 485 $92.62 $44,920.70
Disclosure

SEC source: 0001209191-22-022522 · 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: 10,192

Underlying: Common Stock · 485 shares

Expires not disclosed

F3 · security: Acquired at a price of $92.62 per unit pursuant to the terms of the 2007 Long-Term Incentive Plan.

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
April 01, 2022 Filed Apr 4, 2022 21:34 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 1,474,538 $23.13 $34,112,699.36
Disclosure

SEC source: 0001209191-22-022585 · doc4.xml · nonDerivative · entry 2

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 55,494,938

F3 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $22.79 to $23.31. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 31, 2022 Filed Mar 31, 2022 21:13 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 201,005 $35.71 $7,177,908.65
Disclosure

SEC source: 0001209191-22-021790 · doc4.xml · nonDerivative · entry 3

GARDEN EDWARD P · CIK 0001257864 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,867,800

F5 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.95. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 31, 2022 Filed Apr 4, 2022 21:34 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 2,000,000 $23.07 $46,145,600.00
Disclosure

SEC source: 0001209191-22-022585 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 54,020,400

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $22.865 to $23.16. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 31, 2022 Filed Mar 31, 2022 21:12 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 201,005 $35.71 $7,177,908.65
Disclosure

SEC source: 0001209191-22-021789 · doc4.xml · nonDerivative · entry 3

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,867,800

F5 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.95. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 30, 2022 Filed Mar 30, 2022 21:46 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 1,500,000 $23.36 $35,036,550.00
Disclosure

SEC source: 0001209191-22-021638 · doc4.xml · nonDerivative · entry 3

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 52,020,400

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $23.27 to $23.45. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 30, 2022 Filed Mar 31, 2022 21:13 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 465,467 $35.60 $16,569,321.89
Disclosure

SEC source: 0001209191-22-021790 · doc4.xml · nonDerivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,666,795

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.75. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 30, 2022 Filed Mar 31, 2022 21:12 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 465,467 $35.60 $16,569,321.89
Disclosure

SEC source: 0001209191-22-021789 · doc4.xml · nonDerivative · entry 2

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,666,795

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.42 to $35.75. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 29, 2022 Filed Mar 30, 2022 21:46 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 1,273,501 $23.20 $29,540,129.20
Disclosure

SEC source: 0001209191-22-021638 · doc4.xml · nonDerivative · entry 2

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 50,520,400

F3 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $22.92 to $23.36. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 29, 2022 Filed Mar 31, 2022 21:13 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 16,042 $35.77 $573,830.36
Disclosure

SEC source: 0001209191-22-021790 · doc4.xml · nonDerivative · entry 1

GARDEN EDWARD P · CIK 0001257864 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,201,328

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.71 to $35.84. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 29, 2022 Filed Mar 31, 2022 21:12 UTC Janus Henderson Group Ltd. JHG · Entity 15494 PurchaseCommon Stock 16,042 $35.77 $573,830.36
Disclosure

SEC source: 0001209191-22-021789 · doc4.xml · nonDerivative · entry 1

PELTZ NELSON · CIK 0000928265 · Director · 10% owner

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

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: 31,201,328

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $35.71 to $35.84. 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.

F2 · ownership.nature: Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco II, Ltd. ("Trian AM Holdco II") and as such determines the investment and voting decisions of Trian AM Holdco II with respect to the shares of the Issuer held by it. Mr. Peltz 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 Trian AM Holdco II. Accordingly, Mr. Peltz 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 AM Holdco II.

F3 · ownership.nature: (FN 2, contd.) 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. Peltz is a director of the Issuer.

Read SEC document
March 28, 2022 Filed Mar 30, 2022 21:46 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 756,419 $22.15 $16,754,227.00
Disclosure

SEC source: 0001209191-22-021638 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 49,246,899

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $21.985 to $22.405. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 25, 2022 Filed Mar 26, 2022 01:13 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 720,080 $22.01 $15,846,440.52
Disclosure

SEC source: 0001209191-22-021204 · doc4.xml · nonDerivative · entry 3

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 48,490,480

F4 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $21.845 to $22.10. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
March 24, 2022 Filed Mar 26, 2022 01:13 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 682,437 $21.77 $14,856,175.78
Disclosure

SEC source: 0001209191-22-021204 · doc4.xml · nonDerivative · entry 2

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 47,770,400

F3 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $21.425 to $21.89. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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March 23, 2022 Filed Mar 26, 2022 01:13 UTC Invesco Ltd. IVZ · Entity 125 PurchaseCommon Stock 1,026,508 $21.52 $22,085,319.62
Disclosure

SEC source: 0001209191-22-021204 · doc4.xml · nonDerivative · entry 1

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 47,087,963

F1 · price: The price shown in Column 4 is a weighted average purchase price. The price range for the purchase is $21.38 to $21.68. 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.

F2 · ownership.nature: The Reporting Person serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by Trian AM Holdco. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interests therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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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.