organization · Reporting owner
GENERAL ELECTRIC CO
Disclosed activity across 36 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Coller Secondaries Private Equity Opportunities FundNONE · Entity 11407 | 10% owner | April 25, 2024 | May 06, 2024 |
| ELEPHANT & CASTLE GROUP INCPUBSF · Entity 13947 | 10% owner | December 03, 1999 | January 10, 2005 |
| GENWORTH FINANCIAL INCGNW · Entity 4085 | 10% owner | March 02, 2006 | March 06, 2006 |
| Genpact LTDG · Entity 3760 | 10% owner | March 24, 2010 | March 26, 2010 |
| IDX SYSTEMS CORPIDXC · Entity 13671 | 10% owner | September 28, 2005 | October 11, 2005 |
| IONICS INCION · Entity 13984 | 10% owner | November 24, 2004 | December 03, 2004 |
| IVILLAGE INCIVIL · Entity 13702 | 10% owner | March 03, 2006 | March 13, 2006 |
| KKR Asset-Based Income FundNONE · Entity 11175 | 10% owner | November 28, 2025 | December 02, 2025 |
| REGAL REXNORD CORPRBC · Entity 2107 | 10% owner | August 16, 2005 | August 17, 2005 |
| REGENCY CENTERS CORPREG · Entity 3380 | 10% owner | December 15, 2003 | December 17, 2003 |
| ROTECH HEALTHCARE INCROHI · Entity 13665 | See footnotes (1) & (2) | April 25, 2006 | May 18, 2006 |
| Regency Energy Partners LPRGNC · Entity 13103 | 10% owner | December 02, 2010 | December 09, 2010 |
| SUPERIOR ESSEX INCSPSX · Entity 13843 | See notes (2) and (3) | July 15, 2005 | July 20, 2005 |
| THERMOVIEW INDUSTRIES INCTHV · Entity 14170 | 10% owner | June 30, 2003 | July 01, 2003 |
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.
Coller Secondaries Private Equity Opportunities Fund
Report date April 25, 2024 · Filed May 06, 2024
Jointly reported with GENERAL ELECTRIC PENSION TRUST, GE INVESTMENT MANAGEMENT CORP.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I SharesSEC Table I · non-derivative | Direct | 7,689,674.2 |
Reported balance
Holding disclosure · report date 2024-04-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,689,674.2 F1: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company, operating as GE Aerospace ("GE Aerospace"). F2: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE Aerospace (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company, operating as GE Aerospace ("GE Aerospace").
F2: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE Aerospace (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.
ELEPHANT & CASTLE GROUP INC
Report date December 03, 1999 · Filed January 10, 2005
Jointly reported with GE INVESTMENT PRIVATE PLACEMENT PARTNERS II LTD PARTNERSHIP, G E ASSET MANAGEMENT INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 649,860 |
Reported balance
After 1999-12-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 1999-12-03 · Conversion · Acquired 1,000,000 · Balance 649,860 F1: The number of shares reflect a 2 for 1 reverse stock split that occurred on March 23, 2000. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Common StockSEC Table I · non-derivative | Direct | 3,249,860 |
Reported balance
After 2001-12-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2001-12-12 · Other · Acquired 2,600,000 · Balance 3,249,860 F2: Issued to GE Investment Private Placement Partners II, a Limited Partnership ("GEIPPPII") for no additional consideration pursuant to the terms of Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Common StockSEC Table I · non-derivative | Direct | 3,252,860 |
Reported balance
After 2002-06-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2002-06-12 · Other · Acquired 3,000 · Balance 3,252,860 F3: Issued to GEIPPPII for no additional consideration as non-executive director compensation for board participation. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Common StockSEC Table I · non-derivative | Direct | 3,255,860 |
Reported balance
After 2003-05-20 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2003-05-20 · Other · Acquired 3,000 · Balance 3,255,860 F3: Issued to GEIPPPII for no additional consideration as non-executive director compensation for board participation. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Common StockSEC Table I · non-derivative | Direct | 3,258,860 |
Reported balance
After 2004-04-23 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2004-04-23 · Other · Acquired 3,000 · Balance 3,258,860 F3: Issued to GEIPPPII for no additional consideration as non-executive director compensation for board participation. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2003-12-31 | Direct | 1,000,000 |
Reported balance
After 1999-12-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 1999-12-03 · Conversion · Disposed 1,000,000 · Balance 1,000,000 F4: Exercise price per share was reduced from $2 to $1 pursuant to renegotiation of terms in October 1999. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2005-11-30 | Direct | 0 |
Reported balance
After 2001-12-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2001-12-12 · Other · Disposed 3,000,000 · Balance 0 F5: The conversion price was initially equal to $8. The conversion price was $10 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $7.68 · Expires 2005-11-30 | Direct | 0 |
Reported balance
After 2001-12-12 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2001-12-12 · Other · Disposed 2,000,000 · Balance 0 F6: The conversion price was initially equal to $6. The conversion price was $7.68 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $7.68 · Expires 2005-11-30 | Direct | 0 |
Reported balance
After 2001-12-12 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2001-12-12 · Other · Disposed 2,000,000 · Balance 0 F6: The conversion price was initially equal to $6. The conversion price was $7.68 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $7.68 · Expires 2005-11-30 | Direct | 0 |
Reported balance
After 2001-12-12 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2001-12-12 · Other · Disposed 2,000,000 · Balance 0 F7: The conversion price was initially equal to $5. The conversion price was $7.68 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Convertible Subordinated DebentureSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2003-12-31 | Direct | 0 |
Reported balance
After 2001-12-12 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2001-12-12 · Other · Disposed 1,000,000 · Balance 0 F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Senior Secured Convertible NoteSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2005-09-01 | Direct | 5,000,000 |
Reported balance
After 2001-12-12 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2001-12-12 · Other · Acquired 5,000,000 · Balance 5,000,000 F9: GEIPPPII has the right to convert the notes into shares of common stock at a conversion price that increased in fixed increments at various times pursuant to the 2001 Agreement beginning at $1 and ending with a final conversion price of $1.75. The conversion price from September 1, 2004 through September 1, 2005 is $1.75. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F10: The Senior Notes are subject to periodic mandatory prepayment by the Issuer. GEIPPPII received prepayments from the Issuer in the amounts of $125,000 in 2001, $525,000 in 2002 and $450,000 in 2003 reducing the outstanding balance on the Senior Notes to $3,900,000. F14: Immediately. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Senior Secured Convertible NoteSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2005-09-01 | Direct | 0 |
Reported balance
After 2004-12-17 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2004-12-17 · Other · Disposed 5,000,000 · Balance 0 F9: GEIPPPII has the right to convert the notes into shares of common stock at a conversion price that increased in fixed increments at various times pursuant to the 2001 Agreement beginning at $1 and ending with a final conversion price of $1.75. The conversion price from September 1, 2004 through September 1, 2005 is $1.75. F12: Pursuant to the Amended and Restated Note and Stock Purchase Agreement dated December 17, 2004, GEIPPPII exchanged the Junior Note and Senior Note and waived accrued and unpaid interest on the Junior Notes and the Senior Notes in exchange for (i) a $4,203,879 note (which is not convertible) due on December 18, 2009, (ii) 3,653,972 Shares of Preferred Series A stock (convertible into Common Shares at a 1 to 3 ratio), and (iii) a Warrant for 1,750,000 shares of common stock at an exercise price of CDN 0.667 (subject to adjustment). F10: The Senior Notes are subject to periodic mandatory prepayment by the Issuer. GEIPPPII received prepayments from the Issuer in the amounts of $125,000 in 2001, $525,000 in 2002 and $450,000 in 2003 reducing the outstanding balance on the Senior Notes to $3,900,000. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Junior Secured Convertible NoteSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2005-09-01 | Direct | 5,000,000 |
Reported balance
After 2001-12-12 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2001-12-12 · Other · Acquired 5,000,000 · Balance 5,000,000 F9: GEIPPPII has the right to convert the notes into shares of common stock at a conversion price that increased in fixed increments at various times pursuant to the 2001 Agreement beginning at $1 and ending with a final conversion price of $1.75. The conversion price from September 1, 2004 through September 1, 2005 is $1.75. F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures. F11: Pursuant to the 2001 Agreement, the Junior Notes will be converted into Common Stock at specified times at specified conversion prices, subject to certain financial tests of the Issuer. F14: Immediately. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Junior Secured Convertible NoteSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2005-09-01 | Direct | 0 |
Reported balance
After 2004-12-17 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2004-12-17 · Other · Disposed 5,000,000 · Balance 0 F9: GEIPPPII has the right to convert the notes into shares of common stock at a conversion price that increased in fixed increments at various times pursuant to the 2001 Agreement beginning at $1 and ending with a final conversion price of $1.75. The conversion price from September 1, 2004 through September 1, 2005 is $1.75. F12: Pursuant to the Amended and Restated Note and Stock Purchase Agreement dated December 17, 2004, GEIPPPII exchanged the Junior Note and Senior Note and waived accrued and unpaid interest on the Junior Notes and the Senior Notes in exchange for (i) a $4,203,879 note (which is not convertible) due on December 18, 2009, (ii) 3,653,972 Shares of Preferred Series A stock (convertible into Common Shares at a 1 to 3 ratio), and (iii) a Warrant for 1,750,000 shares of common stock at an exercise price of CDN 0.667 (subject to adjustment). F11: Pursuant to the 2001 Agreement, the Junior Notes will be converted into Common Stock at specified times at specified conversion prices, subject to certain financial tests of the Issuer. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2014-12-17 | Direct | 1,750,000 |
Reported balance
After 2004-12-17 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2004-12-17 · Other · Acquired 1,750,000 · Balance 1,750,000 F12: Pursuant to the Amended and Restated Note and Stock Purchase Agreement dated December 17, 2004, GEIPPPII exchanged the Junior Note and Senior Note and waived accrued and unpaid interest on the Junior Notes and the Senior Notes in exchange for (i) a $4,203,879 note (which is not convertible) due on December 18, 2009, (ii) 3,653,972 Shares of Preferred Series A stock (convertible into Common Shares at a 1 to 3 ratio), and (iii) a Warrant for 1,750,000 shares of common stock at an exercise price of CDN 0.667 (subject to adjustment). F14: Immediately. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 3,653,972 |
Reported balance
After 2004-12-17 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2004-12-17 · Other · Acquired 3,653,972 · Balance 3,653,972 F15: 3 for 1. F12: Pursuant to the Amended and Restated Note and Stock Purchase Agreement dated December 17, 2004, GEIPPPII exchanged the Junior Note and Senior Note and waived accrued and unpaid interest on the Junior Notes and the Senior Notes in exchange for (i) a $4,203,879 note (which is not convertible) due on December 18, 2009, (ii) 3,653,972 Shares of Preferred Series A stock (convertible into Common Shares at a 1 to 3 ratio), and (iii) a Warrant for 1,750,000 shares of common stock at an exercise price of CDN 0.667 (subject to adjustment). F14: Immediately. F16: The preferred stock has no expiration date. F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares reflect a 2 for 1 reverse stock split that occurred on March 23, 2000.
F2: Issued to GE Investment Private Placement Partners II, a Limited Partnership ("GEIPPPII") for no additional consideration pursuant to the terms of Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001.
F3: Issued to GEIPPPII for no additional consideration as non-executive director compensation for board participation.
F4: Exercise price per share was reduced from $2 to $1 pursuant to renegotiation of terms in October 1999.
F5: The conversion price was initially equal to $8. The conversion price was $10 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes.
F6: The conversion price was initially equal to $6. The conversion price was $7.68 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes.
F7: The conversion price was initially equal to $5. The conversion price was $7.68 prior to the exchange of the convertible subordinate debentures for the Senior Notes and the Junior Notes.
F8: Pursuant to the Amended and Restated Note, Stock Purchase and Warrant Agreement dated December 12, 2001 (the "2001 Agreement") the outstanding convertible subordinate debentures in the principal amount of $10,000,000 were exchanged for the Amended and Restated Senior Secured Convertible Notes (the "Senior Notes") and the Amended and Restated Junior Secured Convertible Notes (the "Junior Notes") and GEIPPPII received from the Issuer 2,600,000 shares of Common Stock. In consideration for the new shares, the Senior Notes and the Junior Notes, GEIPPPII waived certain payment by the Issuer of accrued and unpaid interest on the convertible subordinate debentures.
F9: GEIPPPII has the right to convert the notes into shares of common stock at a conversion price that increased in fixed increments at various times pursuant to the 2001 Agreement beginning at $1 and ending with a final conversion price of $1.75. The conversion price from September 1, 2004 through September 1, 2005 is $1.75.
F10: The Senior Notes are subject to periodic mandatory prepayment by the Issuer. GEIPPPII received prepayments from the Issuer in the amounts of $125,000 in 2001, $525,000 in 2002 and $450,000 in 2003 reducing the outstanding balance on the Senior Notes to $3,900,000.
F11: Pursuant to the 2001 Agreement, the Junior Notes will be converted into Common Stock at specified times at specified conversion prices, subject to certain financial tests of the Issuer.
F12: Pursuant to the Amended and Restated Note and Stock Purchase Agreement dated December 17, 2004, GEIPPPII exchanged the Junior Note and Senior Note and waived accrued and unpaid interest on the Junior Notes and the Senior Notes in exchange for (i) a $4,203,879 note (which is not convertible) due on December 18, 2009, (ii) 3,653,972 Shares of Preferred Series A stock (convertible into Common Shares at a 1 to 3 ratio), and (iii) a Warrant for 1,750,000 shares of common stock at an exercise price of CDN 0.667 (subject to adjustment).
F13: These securities are owned directly by GEIPPPII. GE Asset Management Incorporated ("GEAM") disclaims beneficial ownership of these securities, except to the extent of its pro-rata partnership interest in GEIPPPII, of which GEAM acts as a general partner. General Electric Company disclaims beneficial ownership of these securities, except to the extent of the pro-rata partnership interest of GEAM, a wholly owned subsidiary of General Electric Company, in GEIPPPII, of which GEAM acts as a general partner.
F14: Immediately.
F15: 3 for 1.
F16: The preferred stock has no expiration date.
GENWORTH FINANCIAL INC
Report date March 02, 2006 · Filed March 06, 2006
Jointly reported with GE FINANCIAL ASSURANCE HOLDINGS INC, GEI, Inc., GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2006-03-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-03-02 · Sale · Disposed 86,216,559 · Balance 0 F1: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.
Genpact LTD
Report date March 24, 2010 · Filed March 26, 2010
Jointly reported with GE Capital (Mauritius) Holdings Ltd, GE Capital International (Mauritius), GE Indian Services Holding Private LTD, GE India Ventures LLC, General Electric Capital Services Indian Investments LLC, GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2010-03-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-03-24 · Sale · Disposed 19,022 · Balance 0 F1: Sale by GE Capital International (Mauritius) ("International"). F2: Directly owned by International. Indirectly owned by GE Indian Services Holding Private Limited ("Indian Holding"), GE India Ventures LLC ("India Ventures"), General Electric Capital Services Indian Investments LLC ("Indian Investments"), General Electric Capital Corporation ("GECC"), General Electric Capital Services, Inc. ("GECS") and General Electric Company ("GE"). International is owned by India Ventures and Indian Holding, which is a subsidiary of India Ventures, which is a subsidiary of Indian Investments, which is a subsidiary of GECC, which is a subsidiary of GECS, which is a subsidiary of GE. Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by International, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein. |
| Common SharesSEC Table I · non-derivative | Direct | 19,947,364 |
Reported balance
After 2010-03-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2010-03-24 · Sale · Disposed 19,980,978 · Balance 19,947,364 F3: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings"). F4: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC, India Ventures and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein. |
| Equity SwapSEC Table II · derivative / convertible security | Direct | 1 |
Reported balance
After 2010-03-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2010-03-25 · Other · Acquired 1 · Balance 1 F5: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein. F6: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Sale by GE Capital International (Mauritius) ("International").
F2: Directly owned by International. Indirectly owned by GE Indian Services Holding Private Limited ("Indian Holding"), GE India Ventures LLC ("India Ventures"), General Electric Capital Services Indian Investments LLC ("Indian Investments"), General Electric Capital Corporation ("GECC"), General Electric Capital Services, Inc. ("GECS") and General Electric Company ("GE"). International is owned by India Ventures and Indian Holding, which is a subsidiary of India Ventures, which is a subsidiary of Indian Investments, which is a subsidiary of GECC, which is a subsidiary of GECS, which is a subsidiary of GE. Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by International, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.
F3: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings").
F4: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC, India Ventures and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.
F5: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.
F6: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.
IDX SYSTEMS CORP
Report date September 28, 2005 · Filed October 11, 2005
This filing explicitly reported no securities owned.
IONICS INC
Report date November 24, 2004 · Filed December 03, 2004
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $1.00 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee explanation of responses below. | 4,402,646 |
Reported balance
Holding disclosure · report date 2004-11-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,402,646 F1: By virtue of that certain Voting Agreement, dated as of November 24, 2004, among General Electric Company ("GE") and the Stockholders listed on Schedule A to the Voting Agreement (each, a "Stockholder" and, collectively, the "Stockholders") (the "Voting Agreement"), GE may be deemed a beneficial owner pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), of 4,402,646 shares of Common Stock subject to the Voting Agreement as of November 24, 2004. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, GE hereby states that this Initial Statement of Beneficial Ownership of Securities on Form 3 shall not be deemed an admission that GE is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities of Ionics, Incorporated. GE has no pecuniary interest in such shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: By virtue of that certain Voting Agreement, dated as of November 24, 2004, among General Electric Company ("GE") and the Stockholders listed on Schedule A to the Voting Agreement (each, a "Stockholder" and, collectively, the "Stockholders") (the "Voting Agreement"), GE may be deemed a beneficial owner pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), of 4,402,646 shares of Common Stock subject to the Voting Agreement as of November 24, 2004. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, GE hereby states that this Initial Statement of Beneficial Ownership of Securities on Form 3 shall not be deemed an admission that GE is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities of Ionics, Incorporated. GE has no pecuniary interest in such shares of Common Stock.
IVILLAGE INC
Report date March 03, 2006 · Filed March 13, 2006
Jointly reported with NBCUniversal Media, LLC, National Broadcasting CO Holding, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | Indirect_ | 0 |
Reported balance
Holding disclosure · report date 2006-03-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: By virtue of that certain Voting Agreement, dated as of March 3, 2006, among NBC Universal, Inc. ("NBCU") and Hearst Communications, Inc., (the "Voting Agreement"), NBCU may be deemed a beneficial owner pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), of 18,184,653 shares of common stock of the Issuer. The filing of this Form shall not be deemed an admission that NBCU, National Broadcasting Company Holding, Inc. ("NBC Holding"), or General Electric Company ("GE") is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities of the Issuer. F2: NBCU is a party to the Voting Agreement. NBCU is an 80% owned subsidiary of NBC Holding which in turn is a wholly-owned subsidiary of GE. |
Filing footnotes · ownership attribution and instrument terms
F1: By virtue of that certain Voting Agreement, dated as of March 3, 2006, among NBC Universal, Inc. ("NBCU") and Hearst Communications, Inc., (the "Voting Agreement"), NBCU may be deemed a beneficial owner pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), of 18,184,653 shares of common stock of the Issuer. The filing of this Form shall not be deemed an admission that NBCU, National Broadcasting Company Holding, Inc. ("NBC Holding"), or General Electric Company ("GE") is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities of the Issuer.
F2: NBCU is a party to the Voting Agreement. NBCU is an 80% owned subsidiary of NBC Holding which in turn is a wholly-owned subsidiary of GE.
KKR Asset-Based Income Fund
Report date November 28, 2025 · Filed December 02, 2025
Jointly reported with GENERAL ELECTRIC PENSION TRUST, GE INVESTMENT MANAGEMENT CORP.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 184,945.737 |
Reported balance
After 2025-11-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-11-28 · Purchase · Acquired 9,785.406 · Balance 184,945.737 F1: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company ("GE"). F2: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company ("GE").
F2: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.
REGAL REXNORD CORP
Report date August 16, 2005 · Filed August 17, 2005
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2005-08-16 transaction · row 1
1 source rowRow 1 · 2005-08-16 · Sale · Disposed 4,559,048 · Balance 0 |
REGENCY CENTERS CORP
Report date December 15, 2003 · Filed December 17, 2003
Jointly reported with SECURITY CAPITAL GROUP INC/, GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GE CAPITAL INTERNATIONAL HOLDINGS CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy subsidiary | 0 |
Last balance in matching sequence
After 2003-12-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2003-12-15 · Other · Disposed 4,080,000 · Balance 8,106,667 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Row 2 · 2003-12-15 · Other · Disposed 4,200,000 · Balance 3,906,667 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Row 3 · 2003-12-16 · Other · Disposed 3,906,667 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-04-01 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2003-12-15 · Other · Disposed 4,080,000 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-06-01 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2003-12-15 · Other · Disposed 4,200,000 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-06-18 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2003-12-16 · Other · Disposed 3,906,667 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose.
F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock.
F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)).
F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)).
F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock.
ROTECH HEALTHCARE INC
Report date April 25, 2006 · Filed May 18, 2006
Jointly reported with GE CAPITAL CFE INC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CAPITAL CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.0001SEC Table I · non-derivative | Direct | 2,551,156 |
Reported balance
Holding disclosure · report date 2006-04-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,551,156 F1: GE Capital CFE, Inc. ("GECFE") directly owns 2,551,156 shares of Common Stock of the issuer, Rotech Healthcare, Inc. General Electric Capital Corporation ("GE Capital") is the parent company of GECFE. General Electric Capital Services, Inc. ("GECS") is the parent company of GE Capital. General Electric Company ("GE") is the parent company of GECS. F2: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by GECFE. |
Filing footnotes · ownership attribution and instrument terms
F1: GE Capital CFE, Inc. ("GECFE") directly owns 2,551,156 shares of Common Stock of the issuer, Rotech Healthcare, Inc. General Electric Capital Corporation ("GE Capital") is the parent company of GECFE. General Electric Capital Services, Inc. ("GECS") is the parent company of GE Capital. General Electric Company ("GE") is the parent company of GECS.
F2: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by GECFE.
Regency Energy Partners LP
Report date December 02, 2010 · Filed December 09, 2010
Jointly reported with Aircraft Services CORP, EFS Regency GP Holdco II, LLC, Regency LP Acquirer, L.P., GENERAL ELECTRIC CAPITAL CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Units representing limited partner interestsSEC Table I · non-derivative | IndirectSee Footnote | 15,277,106 |
Reported balance
After 2010-12-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-12-02 · Sale · Disposed 5,160,561 · Balance 15,277,106 F1: The Reporting Persons are the beneficial owners of 15,277,106 Common Units following the closing on December 2, 2010 of the sale by LP Holdings to ZLP Fund, L.P. ("ZLP Fund"), ZLP Master Opportunity Fund, Ltd. ("ZLP Master Opportunity Fund"), ZLP Master Utility Fund, Ltd. ("ZLP Master Utility Fund," and together with ZLP Fund and ZLP Master Opportunity Fund, the "Zimmer Purchasers"), pursuant to the exercise by the Zimmer Purchasers of their right of first offer under the Common Unit Purchase Agreement (the "Common Unit Purchase Agreement"), dated as of October 22, 2010, by and among LP Holdings, the Zimmer Purchasers and Credit Suisse Management LLC, of 5,160,561 Common Units for $125,002,204.90. F2: These securities are owned by LP Holdings, which is a member of a "group" for purposes of Section 13(d) of the Exchange Act including LP Holdings, EFS Regency GP Holdco II, LLC, Aircraft Services Corporation, General Electric Capital Corporation and General Electric Company. The joint filers are jointly filing this Form 4 and information regarding the joint filers other than Aircraft Services Corporation is set forth on Exhibit 99 to this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons are the beneficial owners of 15,277,106 Common Units following the closing on December 2, 2010 of the sale by LP Holdings to ZLP Fund, L.P. ("ZLP Fund"), ZLP Master Opportunity Fund, Ltd. ("ZLP Master Opportunity Fund"), ZLP Master Utility Fund, Ltd. ("ZLP Master Utility Fund," and together with ZLP Fund and ZLP Master Opportunity Fund, the "Zimmer Purchasers"), pursuant to the exercise by the Zimmer Purchasers of their right of first offer under the Common Unit Purchase Agreement (the "Common Unit Purchase Agreement"), dated as of October 22, 2010, by and among LP Holdings, the Zimmer Purchasers and Credit Suisse Management LLC, of 5,160,561 Common Units for $125,002,204.90.
F2: These securities are owned by LP Holdings, which is a member of a "group" for purposes of Section 13(d) of the Exchange Act including LP Holdings, EFS Regency GP Holdco II, LLC, Aircraft Services Corporation, General Electric Capital Corporation and General Electric Company. The joint filers are jointly filing this Form 4 and information regarding the joint filers other than Aircraft Services Corporation is set forth on Exhibit 99 to this Form 4.
SUPERIOR ESSEX INC
Report date July 15, 2005 · Filed July 20, 2005
Jointly reported with GREENWATER HOLDINGS LTD, HELLER INTERNATIONAL GROUP INC, HELLER FINANCIAL INC, GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,241,318 |
Reported balance
After 2005-07-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-07-15 · Sale · Disposed 1,250,000 · Balance 1,241,318 F1: The parties reached agreement as to material terms on July 15, 2005. The transaction was executed on Nasdaq on July 19, 2005. F2: These shares are owned directly by Greenwater Holding, Ltd. ("Greenwater"). Heller International Group, Inc. ("HIG") is the sole shareholder of Greenwater. Heller Financial, Inc. ("Heller Financial") is the sole shareholder of HIG. General Electric Capitol Corporation ("GECC") is the sole shareholder of Heller Financial. General Electric Capital Services, Inc. ("GECS") is the sole shareholder of GECC. General Electric Company ("GE") is the sole shareholder of GECS. F3: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE, GECS, GECC, Heller Financial and HIG disclaims beneficial ownership of the Common Stock directly owned by Greenwater. |
Filing footnotes · ownership attribution and instrument terms
F1: The parties reached agreement as to material terms on July 15, 2005. The transaction was executed on Nasdaq on July 19, 2005.
F2: These shares are owned directly by Greenwater Holding, Ltd. ("Greenwater"). Heller International Group, Inc. ("HIG") is the sole shareholder of Greenwater. Heller Financial, Inc. ("Heller Financial") is the sole shareholder of HIG. General Electric Capitol Corporation ("GECC") is the sole shareholder of Heller Financial. General Electric Capital Services, Inc. ("GECS") is the sole shareholder of GECC. General Electric Company ("GE") is the sole shareholder of GECS.
F3: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE, GECS, GECC, Heller Financial and HIG disclaims beneficial ownership of the Common Stock directly owned by Greenwater.
THERMOVIEW INDUSTRIES INC
Report date June 30, 2003 · Filed July 01, 2003 · Amendment
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2007-07-08 | Direct | 1,788,147 |
Reported balance
After 1999-07-08 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 1999-07-08 · Grant · Acquired 561,343 · Balance 1,788,147 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2011-03-22 | Direct | 1,788,147 |
Reported balance
After 2001-03-28 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2001-03-28 · Grant · Acquired 546,804 · Balance 1,788,147 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2013-06-30 | Direct | 1,788,147 |
Reported balance
After 2003-06-30 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2003-06-30 · Grant · Acquired 680,000 · Balance 1,788,147 |
Past disclosures · reporting ended (22)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
A123 SYSTEMS, INC.
Report date September 29, 2009 · Filed October 01, 2009
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GE CAPITAL EQUITY INVESTMENTS INC, GE CAPITAL CFE INC, GPSF Securities, Inc.
Section 16 reporting ended · disclosed 2009-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 800,945 |
Reported balance
After 2009-09-29 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2009-09-29 · Conversion · Acquired 800,945 · Balance 800,945 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 2,382,925 |
Reported balance
After 2009-09-29 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2009-09-29 · Conversion · Acquired 2,382,925 · Balance 2,382,925 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 4,880,843 |
Reported balance
After 2009-09-29 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2009-09-29 · Conversion · Acquired 2,497,918 · Balance 4,880,843 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 6,512,034 |
Reported balance
After 2009-09-29 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2009-09-29 · Conversion · Acquired 1,631,191 · Balance 6,512,034 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 900,277 |
Reported balance
Holding disclosure · report date 2009-09-29 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 900,277 F3: Directly owned by GPSF Securities, Inc. ("GPSF"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2009-09-29 · Conversion · Disposed 800,945 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2009-09-29 · Conversion · Disposed 2,382,925 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2009-09-29 · Conversion · Disposed 1,808,068 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series F Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2009-09-29 · Conversion · Disposed 1,631,191 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
Filing footnotes · ownership attribution and instrument terms
F1: Directly owned by GE Capital CFE, Inc. ("GECFE").
F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").
F3: Directly owned by GPSF Securities, Inc. ("GPSF").
F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.
F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.
ADVANCED LIGHTING TECHNOLOGIES INC
Report date August 15, 2003 · Filed August 20, 2003
Section 16 reporting ended · disclosed 2003-08-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFN | 0 |
Reported balance
After 2003-08-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2003-08-15 · Sale · Disposed 1,429,590 · Balance 0 F1: The Reporting Person, together with its direct and indirect wholly-owned subsidiaries, sold their entire beneficial ownership of non-derivative and derivative securities in the Issuer, as well as certain contractual rights, for an aggregate sales price of $12 million. No specific allocation of the sales price was made to any particular securities. F2: Indirectly through direct and/or indirect wholly-owned subsidiaries of the Reporting Person. |
| Option (right to buy)SEC Table II · derivative / convertible security · Expires 2003-11-19 | IndirectFN | 2 |
Reported balance
After 2002-11-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2002-11-19 · Purchase · Acquired 2 · Balance 2 F3: On September 30, 1999, two stockholders of the Issuer granted the Reporting Person options to purchase shares of Common Stock of the Issuer upon the happening of certain events. Following the occurrence of such events, the options became exercisable on November 19, 2002. The aggregate number of shares into which the options became exercisbale was equal to the number of shares when combined with all other shares of Common Stock owned by the Reporting Person or its affiliates at November 20, 2002, that will result in the Reporting Person having 25% of the voting power of the Issuer's capital stock. The exercise price is equal to the average of the daily market prices for the 20 consecutive business days immediately preceding September 30, 2002. F4: Possibly a later date in the event governmental or regulatory approvals are required. F6: The zero ("0") in this column is a "dummy" amount, solely for the purpose of permitting the use of a descriptive footnote. F2: Indirectly through direct and/or indirect wholly-owned subsidiaries of the Reporting Person. |
| Option (right to buy)SEC Table II · derivative / convertible security · Expires 2003-11-19 | IndirectFN | 0 |
Reported balance
After 2003-08-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2003-08-15 · Sale · Disposed 2 · Balance 0 F3: On September 30, 1999, two stockholders of the Issuer granted the Reporting Person options to purchase shares of Common Stock of the Issuer upon the happening of certain events. Following the occurrence of such events, the options became exercisable on November 19, 2002. The aggregate number of shares into which the options became exercisbale was equal to the number of shares when combined with all other shares of Common Stock owned by the Reporting Person or its affiliates at November 20, 2002, that will result in the Reporting Person having 25% of the voting power of the Issuer's capital stock. The exercise price is equal to the average of the daily market prices for the 20 consecutive business days immediately preceding September 30, 2002. F1: The Reporting Person, together with its direct and indirect wholly-owned subsidiaries, sold their entire beneficial ownership of non-derivative and derivative securities in the Issuer, as well as certain contractual rights, for an aggregate sales price of $12 million. No specific allocation of the sales price was made to any particular securities. F4: Possibly a later date in the event governmental or regulatory approvals are required. F6: The zero ("0") in this column is a "dummy" amount, solely for the purpose of permitting the use of a descriptive footnote. F2: Indirectly through direct and/or indirect wholly-owned subsidiaries of the Reporting Person. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectFN | 0 |
Reported balance
After 2003-08-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2003-08-15 · Sale · Disposed 761,250 · Balance 0 F5: Converts on a 1-4 basis; immediately convertible and no expiration date. F1: The Reporting Person, together with its direct and indirect wholly-owned subsidiaries, sold their entire beneficial ownership of non-derivative and derivative securities in the Issuer, as well as certain contractual rights, for an aggregate sales price of $12 million. No specific allocation of the sales price was made to any particular securities. F2: Indirectly through direct and/or indirect wholly-owned subsidiaries of the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person, together with its direct and indirect wholly-owned subsidiaries, sold their entire beneficial ownership of non-derivative and derivative securities in the Issuer, as well as certain contractual rights, for an aggregate sales price of $12 million. No specific allocation of the sales price was made to any particular securities.
F2: Indirectly through direct and/or indirect wholly-owned subsidiaries of the Reporting Person.
F3: On September 30, 1999, two stockholders of the Issuer granted the Reporting Person options to purchase shares of Common Stock of the Issuer upon the happening of certain events. Following the occurrence of such events, the options became exercisable on November 19, 2002. The aggregate number of shares into which the options became exercisbale was equal to the number of shares when combined with all other shares of Common Stock owned by the Reporting Person or its affiliates at November 20, 2002, that will result in the Reporting Person having 25% of the voting power of the Issuer's capital stock. The exercise price is equal to the average of the daily market prices for the 20 consecutive business days immediately preceding September 30, 2002.
F4: Possibly a later date in the event governmental or regulatory approvals are required.
F5: Converts on a 1-4 basis; immediately convertible and no expiration date.
F6: The zero ("0") in this column is a "dummy" amount, solely for the purpose of permitting the use of a descriptive footnote.
BEACON POWER CORP
Report date August 20, 2003 · Filed August 22, 2003
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
Section 16 reporting ended · disclosed 2003-08-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2003-08-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-08-20 · Sale · Disposed 3,000 · Balance 0 F1: The Reporting Person continues to hold a warrant to purchase 240,000 shares of common stock of the issuer, a warrant to purchase 1,333,333 shares of common stock of the issuer and stock options that are convertible into 10,000 shares of common stock of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person continues to hold a warrant to purchase 240,000 shares of common stock of the issuer, a warrant to purchase 1,333,333 shares of common stock of the issuer and stock options that are convertible into 10,000 shares of common stock of the issuer.
Baker Hughes Co
Report date May 06, 2022 · Filed May 09, 2022
Section 16 reporting ended · disclosed 2022-05-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,931,363 |
Reported balance
After 2022-05-06 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-05-06 · Sale · Disposed 72,025,826 · Balance 3,931,363 F1: The Reporting Person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2: The Reporting Person holds these securities through a wholly-owned subsidiary. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction.
F2: The Reporting Person holds these securities through a wholly-owned subsidiary.
CASTLE DENTAL CENTERS INC
Report date June 14, 2004 · Filed June 16, 2004
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
Section 16 reporting ended · disclosed 2004-06-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2004-06-14 · Other · Disposed 5,644 · Balance 0 F1: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company. F2: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47. F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2004-06-14 · Other · Disposed 119,520 · Balance 0 F4: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation"). F5: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73. F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. |
| Warrant for A-2SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2012-07-19 | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2004-06-14 · Other · Disposed 1 · Balance 0 F6: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation. F7: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company.
F2: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47.
F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date.
F4: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation").
F5: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73.
F6: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation.
F7: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75.
GE HealthCare Technologies Inc.
Report date March 15, 2024 · Filed March 15, 2024
Section 16 reporting ended · disclosed 2024-03-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 32,631,302 |
Reported balance
After 2024-03-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-03-15 · Other · Disposed 14,000,000 · Balance 32,631,302 F1: The reporting person exchanged 14,000,000 shares of the common stock of the Issuer to extinguish $1,221,780,000 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F2: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $87.27 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person exchanged 14,000,000 shares of the common stock of the Issuer to extinguish $1,221,780,000 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange.
F2: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $87.27 per share.
GE Vernova Inc.
Report date April 02, 2024 · Filed April 04, 2024
Section 16 reporting ended · disclosed 2024-04-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-04-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-04-02 · Other · Disposed 274,085,523 · Balance 0 F1: On March 8, 2024, General Electric Company, a New York corporation ("GE"), reported that it owned 100 shares, par value $0.01 per share, of GE Vernova LLC, which at the time constituted all of the issued and outstanding limited liability company units of GE Vernova LLC. On April 1, 2024, GE Vernova LLC converted from a limited liability company to a corporation and changed its name to GE Vernova Inc. In connection therewith, the outstanding shares of GE Vernova Inc. changed to 274,085,523 shares of common stock, par value $0.01 per share. F2: The record date for the distribution by GE of all of the shares of common stock of GE Vernova Inc. to the holders of GE common shares was March 19, 2024 (the "Spin-Off"). The Spin-Off occurred before the market open on April 2, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 8, 2024, General Electric Company, a New York corporation ("GE"), reported that it owned 100 shares, par value $0.01 per share, of GE Vernova LLC, which at the time constituted all of the issued and outstanding limited liability company units of GE Vernova LLC. On April 1, 2024, GE Vernova LLC converted from a limited liability company to a corporation and changed its name to GE Vernova Inc. In connection therewith, the outstanding shares of GE Vernova Inc. changed to 274,085,523 shares of common stock, par value $0.01 per share.
F2: The record date for the distribution by GE of all of the shares of common stock of GE Vernova Inc. to the holders of GE common shares was March 19, 2024 (the "Spin-Off"). The Spin-Off occurred before the market open on April 2, 2024.
HPSC INC
Report date January 12, 2004 · Filed January 14, 2004 · Amendment
Section 16 reporting ended · disclosed 2004-01-14. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | Direct | 4,647,607 |
Reported balance
After 2004-01-12 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2004-01-12 · Other · Acquired 4,647,607 · Balance 4,647,607 F1: The securities were acquired in connection with the closing of the Agreement and Plan of Merger among General Electric Company ("GE"), Patriot HFS, Inc. and HPSC, Inc. ("HPSC") (the "Merger"). Upon the closing of the Merger, the shares of HPSC stock were converted into the right to receive 0.464 shares of GE common stock and cash in lieu of fractional shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were acquired in connection with the closing of the Agreement and Plan of Merger among General Electric Company ("GE"), Patriot HFS, Inc. and HPSC, Inc. ("HPSC") (the "Merger"). Upon the closing of the Merger, the shares of HPSC stock were converted into the right to receive 0.464 shares of GE common stock and cash in lieu of fractional shares.
MEDIA SERVICE GROUP INC
Report date July 07, 2004 · Filed July 09, 2004
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
Section 16 reporting ended · disclosed 2004-07-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 108,910 |
Last balance in matching sequence
After 2004-07-08 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2004-07-07 · Sale · Disposed 48,800 · Balance 143,610 F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Row 2 · 2004-07-08 · Sale · Disposed 34,700 · Balance 108,910 F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. |
Filing footnotes · ownership attribution and instrument terms
F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.
NEOGENOMICS INC
Report date December 14, 2018 · Filed December 14, 2018
Jointly reported with GE Medical Systems Information Technologies, Inc.
Section 16 reporting ended · disclosed 2018-12-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, $0.001 par value per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2018-12-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-12-14 · Sale · Disposed 10,835,145 · Balance 0 F1: The securities reported herein were previously owned directly by GE Medical Systems Information Technologies, Inc., which is a wholly owned subsidiary of General Electric Company. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein were previously owned directly by GE Medical Systems Information Technologies, Inc., which is a wholly owned subsidiary of General Electric Company.
NEWPOWER HOLDINGS INC
Report date September 05, 2003 · Filed September 09, 2003
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CAPITAL CORP
Section 16 reporting ended · disclosed 2003-09-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2003-09-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-09-05 · Sale · Disposed 3,696,288 · Balance 0 |
| Class A WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2005-12-31 | Direct | 0 |
Reported balance
After 2003-09-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2003-09-05 · Sale · Disposed 5,250,000 · Balance 0 |
Neuronetics, Inc.
Report date July 02, 2018 · Filed July 05, 2018
Jointly reported with GE Ventures Ltd
Section 16 reporting ended · disclosed 2018-07-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note | 1,308,041 |
Last balance in matching sequence
After 2018-07-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-07-02 · Conversion · Acquired 1,028,009 · Balance 1,028,009 F1: Each share of Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. Row 2 · 2018-07-02 · Conversion · Acquired 280,032 · Balance 1,308,041 F1: Each share of Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
| Series F Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note | 0 |
Reported balance
After 2018-07-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-02 · Conversion · Disposed 1,028,009 · Balance 0 F1: Each share of Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
| Series G Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note | 0 |
Reported balance
After 2018-07-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-07-02 · Conversion · Disposed 280,032 · Balance 0 F1: Each share of Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering.
F2: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose.
POSITRON CORP
Report date June 29, 2003 · Filed July 11, 2003
Section 16 reporting ended · disclosed 2003-07-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2003-06-29 transaction · row 1
1 source rowRow 1 · 2003-06-29 · Sale · Disposed 9,000,000 · Balance 0 F1: Imatron Inc., a wholly owned subsidiary of General Electric Company, was merged with and into General Electric Company on June 26, 2003. General Electric is filing this Form 4 as successor to Imatron Inc. In connection with a transaction entered into by General Electric ("GE") and Positron Corporation, GE surrendered for cancellation Positron's $2,000,000 note and accrued interest, 9,000,000 shares of Positron's common stock and a warrant exercisable for 6,000,000 shares of Positron's common stock in exchange for Positron selling to GE its cardiac PET software having an estimated market value of $5 million. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2006-06-30 | Direct | 0 |
Reported balance
After 2003-06-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2003-06-29 · Sale · Disposed 1 · Balance 0 F1: Imatron Inc., a wholly owned subsidiary of General Electric Company, was merged with and into General Electric Company on June 26, 2003. General Electric is filing this Form 4 as successor to Imatron Inc. In connection with a transaction entered into by General Electric ("GE") and Positron Corporation, GE surrendered for cancellation Positron's $2,000,000 note and accrued interest, 9,000,000 shares of Positron's common stock and a warrant exercisable for 6,000,000 shares of Positron's common stock in exchange for Positron selling to GE its cardiac PET software having an estimated market value of $5 million. |
Filing footnotes · ownership attribution and instrument terms
F1: Imatron Inc., a wholly owned subsidiary of General Electric Company, was merged with and into General Electric Company on June 26, 2003. General Electric is filing this Form 4 as successor to Imatron Inc. In connection with a transaction entered into by General Electric ("GE") and Positron Corporation, GE surrendered for cancellation Positron's $2,000,000 note and accrued interest, 9,000,000 shares of Positron's common stock and a warrant exercisable for 6,000,000 shares of Positron's common stock in exchange for Positron selling to GE its cardiac PET software having an estimated market value of $5 million.
Pivotal Software, Inc.
Report date November 06, 2018 · Filed November 08, 2018
Jointly reported with GE International Holdings B.V.
Section 16 reporting ended · disclosed 2018-11-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 5,695,554 |
Reported balance
After 2018-11-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-11-06 · Sale · Disposed 9,836,521 · Balance 5,695,554 F1: This statement is being filed by General Electric Company and GE International Holdings B.V. General Electric Company, as the ultimate parent of GE International Holdings B.V., is the sole beneficial owner of all shares of Class A common stock owned of record by GE International Holdings B.V. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by General Electric Company and GE International Holdings B.V. General Electric Company, as the ultimate parent of GE International Holdings B.V., is the sole beneficial owner of all shares of Class A common stock owned of record by GE International Holdings B.V.
Synchrony Financial
Report date November 17, 2015 · Filed November 19, 2015
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GE Consumer Finance, Inc.
Section 16 reporting ended · disclosed 2015-11-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2015-11-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-11-17 · Other · Disposed 705,270,833 · Balance 0 F1: General Electric Company ("GE") disposed of 705,270,833 shares of common stock of the Issuer in exchange for 671,366,809 shares of GE common stock pursuant to a registered exchange offer to GE's common stockholders. The final exchange ratio was 1.0505 shares of Issuer common stock per share of GE common stock accepted in the exchange offer. In preparation for the consummation of the exchange offer, Power Holding LLC (formerly known as GE Consumer Finance, Inc.), a wholly-owned subsidiary of GE, distributed all of the shares of common stock of the Issuer that it directly owned to GE. |
Filing footnotes · ownership attribution and instrument terms
F1: General Electric Company ("GE") disposed of 705,270,833 shares of common stock of the Issuer in exchange for 671,366,809 shares of GE common stock pursuant to a registered exchange offer to GE's common stockholders. The final exchange ratio was 1.0505 shares of Issuer common stock per share of GE common stock accepted in the exchange offer. In preparation for the consummation of the exchange offer, Power Holding LLC (formerly known as GE Consumer Finance, Inc.), a wholly-owned subsidiary of GE, distributed all of the shares of common stock of the Issuer that it directly owned to GE.
TPI COMPOSITES, INC
Report date July 27, 2016 · Filed July 29, 2016
Jointly reported with GE Ventures Ltd
Section 16 reporting ended · disclosed 2016-07-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectNote (1) | 2,843,664 |
Reported balance
After 2016-07-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-07-27 · Conversion · Acquired 2,843,664 · Balance 2,843,664 F2: This transaction represents the total number of shares of Common Stock of the Issuer (the "Issuer Common Stock") received upon the conversion of the Issuer's Series B Convertible Preferred Stock (the "Series B Shares"), Series B-1 Convertible Preferred Stock (the "Series B-1 Shares"), Senior Redeemable Preferred Stock (the "Senior Shares") and Super Senior Redeemable Preferred Stock (the "Super Senior Shares"). The Series B Shares, Series B-1 Shares, Senior Shares and Super Senior Shares are collectively referred to herein as the "Preferred Shares". |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectNote | 0 |
Reported balance
After 2016-07-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-07-27 · Conversion · Disposed 1,715.1869 · Balance 0 F3: The Series B Shares automatically converted into Issuer Common Stock on an approximately 1,282.90-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Series B Shares were convertible at any time at the election of the Reporting Person and had no expiration date. F1: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited, except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
| Series B-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectNote | 0 |
Reported balance
After 2016-07-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-07-27 · Conversion · Disposed 171.452 · Balance 0 F4: The Series B-1 Shares automatically converted into Issuer Common Stock on an approximately 1,808.75-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Series B-1 Shares were convertible at any time at the election of the Reporting Person and had no expiration date. F1: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited, except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
| Senior Redeemable Preferred StockSEC Table II · derivative / convertible security | IndirectNote | 0 |
Reported balance
After 2016-07-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-07-27 · Conversion · Disposed 60 · Balance 0 F5: The Senior Shares automatically converted into Issuer Common Stock on an approximately 4,759.60-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Senior Shares were convertible at any time at the election of the Reporting Person and had no expiration date. F1: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited, except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
| Super Senior Redeemable Preferred StockSEC Table II · derivative / convertible security | IndirectNote | 0 |
Reported balance
After 2016-07-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-07-27 · Conversion · Disposed 10 · Balance 0 F6: The Super Senior Shares automatically converted into Issuer Common Stock on an approximately 4,759.60-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Super Senior Shares were convertible at any time at the election of the Reporting Person and had no expiration date. F1: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited, except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Directly owned by GE Ventures Limited, which is a wholly-owned subsidiary of General Electric Company ("General Electric"). General Electric disclaims beneficial ownership of the securities of the Issuer held by GE Ventures Limited, except to the extent of its pecuniary interest, and the filing of this Form shall not be deemed an admission that General Electric is the beneficial owner of any equity securities of the Issuer for purposes of Section 16 or any other purpose.
F2: This transaction represents the total number of shares of Common Stock of the Issuer (the "Issuer Common Stock") received upon the conversion of the Issuer's Series B Convertible Preferred Stock (the "Series B Shares"), Series B-1 Convertible Preferred Stock (the "Series B-1 Shares"), Senior Redeemable Preferred Stock (the "Senior Shares") and Super Senior Redeemable Preferred Stock (the "Super Senior Shares"). The Series B Shares, Series B-1 Shares, Senior Shares and Super Senior Shares are collectively referred to herein as the "Preferred Shares".
F3: The Series B Shares automatically converted into Issuer Common Stock on an approximately 1,282.90-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Series B Shares were convertible at any time at the election of the Reporting Person and had no expiration date.
F4: The Series B-1 Shares automatically converted into Issuer Common Stock on an approximately 1,808.75-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Series B-1 Shares were convertible at any time at the election of the Reporting Person and had no expiration date.
F5: The Senior Shares automatically converted into Issuer Common Stock on an approximately 4,759.60-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Senior Shares were convertible at any time at the election of the Reporting Person and had no expiration date.
F6: The Super Senior Shares automatically converted into Issuer Common Stock on an approximately 4,759.60-for-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Super Senior Shares were convertible at any time at the election of the Reporting Person and had no expiration date.
Townsquare Media, Inc.
Report date August 16, 2016 · Filed August 18, 2016
Jointly reported with GE Capital US Holdings, Inc., GE Capital Equity Holdings, Inc., GE Business Financial Services Inc., Antares Capital Corp
Section 16 reporting ended · disclosed 2016-08-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class C Common StockSEC Table II · derivative / convertible security | IndirectSee note | 0 |
Reported balance
After 2016-08-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-08-16 · Sale · Disposed 3,258,139 · Balance 0 F1: Each share of the Class C Common Stock of the Issuer has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock of the Issuer, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer. F2: GE Capital Equity Holdings, LLC (formerly known as GE Capital Equity Holdings, Inc.) ("GECEH") sold 2,996,283 shares; GE Business Financial Services Inc. ("GEBFS") sold 144,284 shares; and AN Capital Corporation (formerly known as Antares Capital Corporation) ("AN Capital") sold 117,572 shares. F3: Indirectly owned by GE Capital-US Holdings, Inc. ("GE Capital-US"). GECEH, GEBFS and AN Capital are either direct or indirect wholly-owned subsidiaries of GE Capital-US. GE Capital-US is an indirect wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Class C Common Stock of the Issuer has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock of the Issuer, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer.
F2: GE Capital Equity Holdings, LLC (formerly known as GE Capital Equity Holdings, Inc.) ("GECEH") sold 2,996,283 shares; GE Business Financial Services Inc. ("GEBFS") sold 144,284 shares; and AN Capital Corporation (formerly known as Antares Capital Corporation) ("AN Capital") sold 117,572 shares.
F3: Indirectly owned by GE Capital-US Holdings, Inc. ("GE Capital-US"). GECEH, GEBFS and AN Capital are either direct or indirect wholly-owned subsidiaries of GE Capital-US. GE Capital-US is an indirect wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein.
Transportation Systems Holdings Inc.
Report date February 25, 2019 · Filed February 27, 2019
Section 16 reporting ended · disclosed 2019-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-02-25 transaction · row 1
1 source rowRow 1 · 2019-02-25 · Other · Disposed 8,700,000,000 · Balance 0 F1: On the transaction date, the reporting person distributed all of the shares of common stock of the issuer to its stockholders of record as of the close of business on February 14, 2019, on a pro rata basis, pursuant to the Separation, Distribution and Sale Agreement, dated as of May 20, 2018 and as amended January 25, 2019, among the reporting person, the issuer, Westinghouse Air Brake Technologies Corporation ("Wabtec") and Wabtec US Rail, Inc. F2: The number of securities reflects an internal restructuring of the issuer's equity securities prior to the transaction date, before and after which the reporting person held 100% of the issuer's equity securities. |
| Class B Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-02-25 transaction · row 2
1 source rowRow 2 · 2019-02-25 · Sale · Disposed 10,000 · Balance 0 F3: On the transaction date, the reporting person sold 10,000 shares of Class B Preferred Stock of the issuer to Wabtec for $10 million in cash. Such securities of the issuer were received by the reporting person in connection with the internal restructuring of the issuer's equity securities described in Footnote 2. |
| Class C Convertible Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-02-25 transaction · row 3
1 source rowRow 3 · 2019-02-25 · Other · Disposed 1 · Balance 0 F4: On the transaction date, one share of Class C Preferred Stock of the issuer was converted into 10,000 shares of Wabtec Series A non-voting convertible preferred stock, par value $0.01 per share, and 19,018,207 shares of Wabtec common stock, par value $0.01 per share. Such share of Class C Preferred Stock was received by the reporting person in connection with the internal restructuring of the issuer's equity securities described in Footnote 2. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectThrough Subsidiary | 0 |
Reported balance
After 2019-02-25 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-02-25 · Other · Disposed 141,889.81 · Balance 0 F5: Represents shares of common stock of the issuer received by a wholly-owned subsidiary of the reporting person in the distribution described in Footnote 1 and held indirectly by the reporting person through such wholly-owned subsidiary, which such shares were immediately converted into 762 shares of Wabtec common stock, par value $0.01 per share, plus cash in lieu of a fractional share of Wabtec common stock, on the transaction date. |
Filing footnotes · ownership attribution and instrument terms
F1: On the transaction date, the reporting person distributed all of the shares of common stock of the issuer to its stockholders of record as of the close of business on February 14, 2019, on a pro rata basis, pursuant to the Separation, Distribution and Sale Agreement, dated as of May 20, 2018 and as amended January 25, 2019, among the reporting person, the issuer, Westinghouse Air Brake Technologies Corporation ("Wabtec") and Wabtec US Rail, Inc.
F2: The number of securities reflects an internal restructuring of the issuer's equity securities prior to the transaction date, before and after which the reporting person held 100% of the issuer's equity securities.
F3: On the transaction date, the reporting person sold 10,000 shares of Class B Preferred Stock of the issuer to Wabtec for $10 million in cash. Such securities of the issuer were received by the reporting person in connection with the internal restructuring of the issuer's equity securities described in Footnote 2.
F4: On the transaction date, one share of Class C Preferred Stock of the issuer was converted into 10,000 shares of Wabtec Series A non-voting convertible preferred stock, par value $0.01 per share, and 19,018,207 shares of Wabtec common stock, par value $0.01 per share. Such share of Class C Preferred Stock was received by the reporting person in connection with the internal restructuring of the issuer's equity securities described in Footnote 2.
F5: Represents shares of common stock of the issuer received by a wholly-owned subsidiary of the reporting person in the distribution described in Footnote 1 and held indirectly by the reporting person through such wholly-owned subsidiary, which such shares were immediately converted into 762 shares of Wabtec common stock, par value $0.01 per share, plus cash in lieu of a fractional share of Wabtec common stock, on the transaction date.
VOLUME SERVICES AMERICA HOLDINGS INC
Report date December 16, 2003 · Filed December 18, 2003
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, RECREATIONAL SERVICES LLC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
Section 16 reporting ended · disclosed 2003-12-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectSee Note 2 | 1,474,502 |
Reported balance
After 2003-12-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-12-16 · Sale · Disposed 983,000 · Balance 1,474,502 F1: In connection with the initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock of the Issuer and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013 ("Notes"), the underwriters exercised their over-allotment option in full, purchasing an additional 1,678,545 IDSs, representing 1,678,545 shares of Common Stock and $9,567,706.50 aggregate principal amount of Notes. The Issuer used the net proceeds from the sale of these additional IDSs to purchase from Recreational Services L.L.C. ("Recreational Services") 983,000 shares of Common Stock directly owned by Recreational Services prior to the IPO. F2: Recreational Services directly owns 1,474,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services. F3: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry. F4: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by Recreational Services. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock of the Issuer and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013 ("Notes"), the underwriters exercised their over-allotment option in full, purchasing an additional 1,678,545 IDSs, representing 1,678,545 shares of Common Stock and $9,567,706.50 aggregate principal amount of Notes. The Issuer used the net proceeds from the sale of these additional IDSs to purchase from Recreational Services L.L.C. ("Recreational Services") 983,000 shares of Common Stock directly owned by Recreational Services prior to the IPO.
F2: Recreational Services directly owns 1,474,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services.
F3: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry.
F4: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by Recreational Services.
Veradigm Inc.
Report date May 08, 2006 · Filed May 10, 2006
Jointly reported with IDX SYSTEMS CORP, IDX INVESTMENT CORP
Section 16 reporting ended · disclosed 2006-05-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,430,390 |
Reported balance
After 2006-05-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-05-08 · Sale · Disposed 3,397,375 · Balance 2,430,390 F1: 2,429,763 of the reported securities are owned directly by IDX Investment Corporation, which is a wholly-owned subsidiary of IDX Systems Corporation, which is a wholly owned subsidiary of General Electric Company. Accordingly, General Electric Company is an indirect beneficial owner of the reported securities. In addition, General Electric Company directly owns 627 of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: 2,429,763 of the reported securities are owned directly by IDX Investment Corporation, which is a wholly-owned subsidiary of IDX Systems Corporation, which is a wholly owned subsidiary of General Electric Company. Accordingly, General Electric Company is an indirect beneficial owner of the reported securities. In addition, General Electric Company directly owns 627 of the reported securities.
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP
Report date August 09, 2019 · Filed August 12, 2019
Section 16 reporting ended · disclosed 2019-08-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,048,515 |
Reported balance
After 2019-08-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-08-09 · Sale · Disposed 16,969,692 · Balance 2,048,515 F1: Prior to the sales reported on this Form 4, the shares of issuer common stock and non-voting convertible preferred stock had been subject to the terms of a Shareholders Agreement entered into between the reporting person and the issuer on February 25, 2019, which, among other things, (i) restricted the reporting person from selling or otherwise disposing of any shares of issuer common and non-voting convertible preferred stock during specified time periods and (ii) required the reporting person to sell, transfer or otherwise divest all shares of issuer common stock and non-voting convertible preferred stock by no later than February 25, 2022. F2: In connection with the sales reported on this Form 4, (x) the reporting person granted to certain underwriters a 30-day option period to purchase from the reporting person up to an additional 2,048,515 shares of issuer common stock, (y) the issuer agreed to waive any restrictions under the Shareholders Agreement on the reporting person's ability to sell, transfer or otherwise divest its remaining 2,048,515 shares of issuer common stock, and (z) the reporting person has agreed to sell, transfer or otherwise divest such shares of issuer common stock by December 31, 2019, to the extent such underwriters do not exercise their option to purchase such shares in full. |
| Series A Non-voting Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-08-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-09 · Sale · Disposed 1,219.9922 · Balance 0 F3: The non-voting convertible preferred stock automatically converts (and is not otherwise convertible other than) upon a transfer by the reporting person to a third party. The conversion rate is equal to 2,881.5464 shares of issuer common stock for each share of issuer convertible preferred stock. F1: Prior to the sales reported on this Form 4, the shares of issuer common stock and non-voting convertible preferred stock had been subject to the terms of a Shareholders Agreement entered into between the reporting person and the issuer on February 25, 2019, which, among other things, (i) restricted the reporting person from selling or otherwise disposing of any shares of issuer common and non-voting convertible preferred stock during specified time periods and (ii) required the reporting person to sell, transfer or otherwise divest all shares of issuer common stock and non-voting convertible preferred stock by no later than February 25, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Prior to the sales reported on this Form 4, the shares of issuer common stock and non-voting convertible preferred stock had been subject to the terms of a Shareholders Agreement entered into between the reporting person and the issuer on February 25, 2019, which, among other things, (i) restricted the reporting person from selling or otherwise disposing of any shares of issuer common and non-voting convertible preferred stock during specified time periods and (ii) required the reporting person to sell, transfer or otherwise divest all shares of issuer common stock and non-voting convertible preferred stock by no later than February 25, 2022.
F2: In connection with the sales reported on this Form 4, (x) the reporting person granted to certain underwriters a 30-day option period to purchase from the reporting person up to an additional 2,048,515 shares of issuer common stock, (y) the issuer agreed to waive any restrictions under the Shareholders Agreement on the reporting person's ability to sell, transfer or otherwise divest its remaining 2,048,515 shares of issuer common stock, and (z) the reporting person has agreed to sell, transfer or otherwise divest such shares of issuer common stock by December 31, 2019, to the extent such underwriters do not exercise their option to purchase such shares in full.
F3: The non-voting convertible preferred stock automatically converts (and is not otherwise convertible other than) upon a transfer by the reporting person to a third party. The conversion rate is equal to 2,881.5464 shares of issuer common stock for each share of issuer convertible preferred stock.
iMedia Brands, Inc.
Report date April 29, 2016 · Filed May 03, 2016
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC
Section 16 reporting ended · disclosed 2016-05-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-04-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-04-29 · Sale · Disposed 3,545,049 · Balance 0 F1: Closing of the sale of shares of Common Stock by GE Capital Equity Investments, Inc. ("GECEI") to ASF Radio, L.P. ("ASF"). ASF is an affiliate of Ardian, an independent private equity investment company. F2: Directly owned by GECEI. See Exhibit 99.1, incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Closing of the sale of shares of Common Stock by GE Capital Equity Investments, Inc. ("GECEI") to ASF Radio, L.P. ("ASF"). ASF is an affiliate of Ardian, an independent private equity investment company.
F2: Directly owned by GECEI. See Exhibit 99.1, incorporated by reference herein.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 28, 2025 Filed Dec 2, 2025 15:44 UTC | KKR Asset-Based Income Fund NONE · Entity 11175 | PurchaseCommon Shares of Beneficial Interest | 9,785.406 | $1,021.93 | $9,999,999.95 |
DisclosureSEC source: 0000902664-25-005176 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC PENSION TRUST · CIK 0000314959 · 10% owner GE INVESTMENT MANAGEMENT CORP. · CIK 0001125824 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 184,945.737 F1 · ownership.direct: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company ("GE"). F2 · ownership.direct: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. Read SEC document |
| April 02, 2024 Filed Apr 4, 2024 20:05 UTC | GE Vernova Inc. GEV · Entity 2830 | OtherCommon stock, par value $0.01 per share | 274,085,523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-24-000937 · es240464726_4-gev.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Former 10% Owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · security: On March 8, 2024, General Electric Company, a New York corporation ("GE"), reported that it owned 100 shares, par value $0.01 per share, of GE Vernova LLC, which at the time constituted all of the issued and outstanding limited liability company units of GE Vernova LLC. On April 1, 2024, GE Vernova LLC converted from a limited liability company to a corporation and changed its name to GE Vernova Inc. In connection therewith, the outstanding shares of GE Vernova Inc. changed to 274,085,523 shares of common stock, par value $0.01 per share. F2 · kind: The record date for the distribution by GE of all of the shares of common stock of GE Vernova Inc. to the holders of GE common shares was March 19, 2024 (the "Spin-Off"). The Spin-Off occurred before the market open on April 2, 2024. F2 · price: The record date for the distribution by GE of all of the shares of common stock of GE Vernova Inc. to the holders of GE common shares was March 19, 2024 (the "Spin-Off"). The Spin-Off occurred before the market open on April 2, 2024. Read SEC document |
| March 15, 2024 Filed Mar 15, 2024 20:03 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 14,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-24-000720 · es240458409_4-ge.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Former 10% Owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,631,302 F1 · security: The reporting person exchanged 14,000,000 shares of the common stock of the Issuer to extinguish $1,221,780,000 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F1 · kind: The reporting person exchanged 14,000,000 shares of the common stock of the Issuer to extinguish $1,221,780,000 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F2 · price: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $87.27 per share. Read SEC document |
| February 21, 2024 Filed Feb 21, 2024 21:48 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 14,950,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-24-000506 · es240449620_4-ge.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,631,302 F1 · security: The reporting person exchanged 14,950,000 shares of the common stock of the Issuer to extinguish $1,229,637,500 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F1 · kind: The reporting person exchanged 14,950,000 shares of the common stock of the Issuer to extinguish $1,229,637,500 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F2 · price: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $82.25 per share. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 20:15 UTC | KKR Asset-Based Income Fund NONE · Entity 11175 | PurchaseCommon Shares of Beneficial Interest | 35,160.331 | $995.44 | $34,999,999.89 |
DisclosureSEC source: 0000902664-23-003823 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC PENSION TRUST · CIK 0000314959 · 10% owner GE INVESTMENT MANAGEMENT CORP. · CIK 0001125824 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,160.331 F1 · ownership.direct: The securities reported herein are held directly by General Electric Pension Trust, a New York common law trust ("GEPT") to which GE Investment Management Corp., a Delaware corporation ("GEIM") serves as investment manager. GEIM is a wholly owned subsidiary of General Electric Company ("GE"). F2 · ownership.direct: The filing of this statement shall not be deemed an admission that GEPT, GEIM or GE (collectively, the "Reporting Persons") are the beneficial owners of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. Read SEC document |
| June 23, 2023 Filed Jun 23, 2023 20:04 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 1,218,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-23-001794 · es230372269_4-ge.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,581,302 F1 · security: Pursuant to an underwriting agreement dated June 7, 2023, the underwriters exercised their option to purchase an additional 1,218,685 shares of the common stock of the Issuer. F2 · security: The reporting person exchanged 1,218,685 shares of the common stock of the Issuer to extinguish $95,057,430 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F1 · kind: Pursuant to an underwriting agreement dated June 7, 2023, the underwriters exercised their option to purchase an additional 1,218,685 shares of the common stock of the Issuer. F2 · kind: The reporting person exchanged 1,218,685 shares of the common stock of the Issuer to extinguish $95,057,430 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F3 · price: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $78.00 per share. Read SEC document |
| June 14, 2023 Filed Jun 14, 2023 20:03 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 2,531,315 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-23-001686 · es230369656_4-ge.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,799,987 F1 · security: Pursuant to an underwriting agreement dated June 7, 2023, the underwriters exercised their option to purchase an additional 2,531,315 shares of the common stock of the Issuer. F2 · security: The reporting person exchanged 2,531,315 shares of the common stock of the Issuer to extinguish $197,442,570 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F1 · kind: Pursuant to an underwriting agreement dated June 7, 2023, the underwriters exercised their option to purchase an additional 2,531,315 shares of the common stock of the Issuer. F2 · kind: The reporting person exchanged 2,531,315 shares of the common stock of the Issuer to extinguish $197,442,570 aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F3 · price: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $78.00 per share. Read SEC document |
| June 12, 2023 Filed Jun 12, 2023 20:02 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 25,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950142-23-001670 · es230359141_4-ge.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,331,302 F1 · security: The reporting person exchanged 25,000,000 shares of the common stock of the Issuer to extinguish $1,950 million aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F1 · kind: The reporting person exchanged 25,000,000 shares of the common stock of the Issuer to extinguish $1,950 million aggregate principal amount of indebtedness under a short-term credit facility of the reporting person in a debt-for-equity exchange. F2 · price: The value of the Issuer's common stock for purposes of the debt-for-equity exchange was $78.00 per share. Read SEC document |
| January 03, 2023 Filed Jan 6, 2023 01:40 UTC | GE HealthCare Technologies Inc. GEHC · Entity 1711 | OtherCommon stock, par value $0.01 per share | 363,594,837 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-001106 · doc4.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,331,302 F1 · security: On December 16, 2022, General Electric Company, a Delaware corporation ("GE"), reported that it owned 100 shares, par value $0.01 per share, of GE Healthcare Holding LLC, which at the time constituted all of the issued and outstanding limited liability company units of GE Healthcare Holding LLC. On December 29, 2022, GE Healthcare Holding LLC converted from a limited liability company to a corporation and changed its name to GE HealthCare Technologies Inc. In connection therewith, the outstanding shares of GE HealthCare Technologies Inc. changed to 453,926,139 shares of common stock, par value $0.01 per share. F2 · kind: The record date for the distribution by GE of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. to the holders of GE common shares was December 16, 2022. The distribution of shares of common stock of GE HealthCare Technologies Inc. occurred after the close of business on January 3, 2023. F2 · price: The record date for the distribution by GE of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. to the holders of GE common shares was December 16, 2022. The distribution of shares of common stock of GE HealthCare Technologies Inc. occurred after the close of business on January 3, 2023. Read SEC document |
| May 06, 2022 Filed May 9, 2022 20:15 UTC | Baker Hughes Co BKR · Entity 2993 | SaleClass A Common Stock | 72,025,826 | $34.45 | $2,481,289,705.70 |
DisclosureSEC source: 0000947871-22-000523 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,931,363 F1 · price: The Reporting Person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 28, 2022 Filed Mar 29, 2022 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 18,146,540 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000423 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,590,890 Underlying: Class A Common Stock · 18,146,540 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 28, 2022 Filed Mar 29, 2022 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 18,146,540 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000423 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 75,957,189 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 28, 2022 Filed Mar 29, 2022 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 18,146,540 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000423 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,590,890 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 14, 2022 Filed Mar 15, 2022 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 15,392,483 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000364 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 58,737,430 Underlying: Class A Common Stock · 15,392,483 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 14, 2022 Filed Mar 15, 2022 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 15,392,483 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000364 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 57,810,649 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 14, 2022 Filed Mar 15, 2022 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 15,392,483 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000364 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 58,737,430 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| February 07, 2022 Filed Feb 8, 2022 11:12 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 42,418,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000145 · ownership.xml · derivative · entry 4 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 74,129,913 Underlying: Class A Common Stock · 42,418,166 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F4 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F3 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| February 07, 2022 Filed Feb 8, 2022 11:12 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 42,418,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000145 · ownership.xml · nonDerivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 42,418,166 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| February 07, 2022 Filed Feb 8, 2022 11:12 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 42,418,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000145 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 74,129,913 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| February 04, 2022 Filed Feb 8, 2022 11:12 UTC | Baker Hughes Co BKR · Entity 2993 | SaleClass A Common Stock | 50,097,840 | $25.98 | $1,301,541,883.20 |
DisclosureSEC source: 0000947871-22-000145 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: The Reporting Person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| November 03, 2021 Filed Nov 4, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 50,097,840 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001139 · ownership.xml · derivative · entry 4 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 116,548,079 Underlying: Class A Common Stock · 50,097,840 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F4 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F3 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| November 03, 2021 Filed Nov 4, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 50,097,840 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001139 · ownership.xml · nonDerivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 50,097,840 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| November 03, 2021 Filed Nov 4, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 50,097,840 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001139 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 116,548,079 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| November 03, 2021 Filed Nov 4, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | SaleClass A Common Stock | 47,380,978 | $25.00 | $1,184,524,450.00 |
DisclosureSEC source: 0000947871-21-001139 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: The Reporting Person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 13, 2021 Filed Oct 14, 2021 10:11 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 4,197,639 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001062 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 166,645,919 Underlying: Class A Common Stock · 4,197,639 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 13, 2021 Filed Oct 14, 2021 10:11 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 4,197,639 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001062 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 47,380,978 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 13, 2021 Filed Oct 14, 2021 10:11 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 4,197,639 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001062 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 166,645,919 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 05, 2021 Filed Oct 6, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 7,882,621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001039 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 170,843,558 Underlying: Class A Common Stock · 7,882,621 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 05, 2021 Filed Oct 6, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 7,882,621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001039 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 43,183,339 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| October 05, 2021 Filed Oct 6, 2021 10:09 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 7,882,621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-001039 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 170,843,558 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| August 03, 2021 Filed Aug 4, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 35,300,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000869 · ownership.xml · derivative · entry 4 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 178,726,179 Underlying: Class A Common Stock · 35,300,718 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F4 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F3 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| August 03, 2021 Filed Aug 4, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 35,300,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000869 · ownership.xml · nonDerivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 35,300,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| August 03, 2021 Filed Aug 4, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 35,300,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000869 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 178,726,179 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| August 03, 2021 Filed Aug 4, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | SaleClass A Common Stock | 53,720,040 | $23.36 | $1,254,900,134.40 |
DisclosureSEC source: 0000947871-21-000869 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: The reporting person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 18, 2021 Filed May 19, 2021 10:14 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 10,793,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000589 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 214,026,897 Underlying: Class A Common Stock · 10,793,660 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 18, 2021 Filed May 19, 2021 10:14 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 10,793,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000589 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 53,720,040 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 18, 2021 Filed May 19, 2021 10:14 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 10,793,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000589 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 214,026,897 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 05, 2021 Filed May 6, 2021 10:06 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 42,926,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000489 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 224,820,557 Underlying: Class A Common Stock · 42,926,380 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 05, 2021 Filed May 6, 2021 10:06 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 42,926,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000489 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 42,926,380 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| May 05, 2021 Filed May 6, 2021 10:06 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 42,926,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000489 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 224,820,557 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| April 29, 2021 Filed Apr 30, 2021 12:37 UTC | Baker Hughes Co BKR · Entity 2993 | SaleClass A Common Stock | 43,685,723 | $22.23 | $971,133,622.29 |
DisclosureSEC source: 0000947871-21-000471 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: The reporting person sold the shares of Class A Common Stock of the Issuer to an unaffiliated financial institution at a price based on the volume weighted average price of Class A Common Stock of the Issuer over the financial institution's hedging period undertaken pursuant to a post-paid forward transaction. F2 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 25, 2021 Filed Mar 26, 2021 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 6,856,862 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000391 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 267,746,937 Underlying: Class A Common Stock · 6,856,862 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 25, 2021 Filed Mar 26, 2021 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 6,856,862 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000391 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 43,685,723 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 25, 2021 Filed Mar 26, 2021 10:02 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 6,856,862 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000391 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 267,746,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 9,249,677 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000335 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 274,603,799 Underlying: Class A Common Stock · 9,249,677 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 9,249,677 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000335 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 36,828,861 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 10:03 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 9,249,677 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000335 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 274,603,799 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 11:10 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionCommon Unit · Derivative | 27,579,184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000287 · ownership.xml · derivative · entry 3 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 283,853,476 Underlying: Class A Common Stock · 27,579,184 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F2 · price: The Paired Interests were acquired by the Reporting Person in connection with the transactions described in the prospectus filed by the Issuer on May 30, 2017 pursuant to Rule 424(b)(3). F1 · derivative.exercise_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 11:10 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass A Common Stock | 27,579,184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000287 · ownership.xml · nonDerivative · entry 2 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 27,579,184 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 11:10 UTC | Baker Hughes Co BKR · Entity 2993 | Exercise / conversionClass B Common Stock | 27,579,184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-21-000287 · ownership.xml · nonDerivative · entry 1 GENERAL ELECTRIC CO · CIK 0000040545 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 283,853,476 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Class B Common Stock, together with a Common Unit of Baker Hughes Holdings LLC (collectively, a "Paired Interest"), is exchangeable for a share of Class A Common Stock. F3 · ownership.nature: The Reporting Person holds these securities through a wholly-owned subsidiary. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.