SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
MARSH WILLIAM D

(Last) (First) (Middle)
17021 ALDINE WESTFIELD ROAD

(Street)
HOUSTON TX 77073

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/03/2017
3. Issuer Name and Ticker or Trading Symbol
Baker Hughes a GE Co [ BHGE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Legal Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 41,133.1058 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) 07/03/2017 07/24/2017 Class A Common Stock 1,006 64.78 D
Stock Option (Right to Buy) 07/03/2017 01/23/2018 Class A Common Stock 995 52.42 D
Stock Option (Right to Buy) 07/03/2017 08/11/2018 Class A Common Stock 923 59.7 D
Stock Option (Right to Buy) 07/03/2017 07/22/2019 Class A Common Stock 1,242 22.02 D
Stock Option (Right to Buy) 07/03/2017 01/19/2020 Class A Common Stock 1,542 29.78 D
Stock Option (Right to Buy) 07/03/2017 07/21/2020 Class A Common Stock 3,200 31.67 D
Stock Option (Right to Buy) 07/03/2017 01/26/2021 Class A Common Stock 3,590 44.82 D
Stock Option (Right to Buy) 07/03/2017 07/19/2021 Class A Common Stock 2,910 59.5 D
Stock Option (Right to Buy) 07/03/2017 01/25/2022 Class A Common Stock 1,929 29.94 D
Stock Option (Right to Buy) 07/03/2017 07/16/2022 Class A Common Stock 4,372 21.8 D
Stock Option (Right to Buy) 07/03/2017 01/24/2023 Class A Common Stock 6,698 27.71 D
Stock Option (Right to Buy) 07/03/2017 07/24/2023 Class A Common Stock 11,498 30.25 D
Stock Option (Right to Buy) 07/03/2017 01/22/2024 Class A Common Stock 5,608 39.23 D
Stock Option (Right to Buy) 07/03/2017 07/14/2024 Class A Common Stock 4,378 55.2 D
Restricted Stock Unit 1_17A (1) (1) Class A Common Stock 15,136 (1) D
Restricted Stock Unit 1_17B (2) (2) Class A Common Stock 15,136 (2) D
Explanation of Responses:
1. These Issuer RSUs (and the associated right with respect to the special one-time cash dividend of $17.50 per share of Issuer Common Stock (the "Special Dividend")) are scheduled to vest in three equal installments beginning January 25, 2018.
2. These Issuer RSUs (including the right with respect to the Special Dividend) are scheduled to vest based solely on service on January 25, 2020.
Remarks:
Following the consummation of the transactions contemplated by the Transaction Agreement and Plan of Merger, dated as of October 30, 2016, among General Electric Company, a New York corporation, Baker Hughes Incorporated, a Delaware corporation ("BHI"), the Issuer and certain subsidiaries of BHI, as amended by that certain Amendment to Transaction Agreement and Plan of Merger dated as of March 27, 2017 (the "Transaction Agreement"), the Reporting Person became an Officer of the Issuer. Exhibit 24 - Power of Attorney
/s/ Lee Whitley, Attorney-in-fact 07/03/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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