SEC Filing | Baker Hughes

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Heilmann Matthias L

(Last)

(First)

(Middle)

17021 ALDINE WESTFIELD ROAD

(Street)

HOUSTON

77073

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Baker Hughes a GE Co [ BHGE ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Digital Officer

3. Date of Earliest Transaction (Month/Day/Year)
07/10/2018

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	11/19/2018		X⁽¹⁾		100	A	$34	3,843	D
Class A Common Stock	11/28/2018		X⁽¹⁾		200	A	$34	4,043	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Call Option (obligation to sell)	$33	07/10/2018		S⁽¹⁾			30	⁽²⁾	08/17/2018	Class A Common Stock	3,000	$243	30	D
Call Option (obligation to sell)	$36	07/10/2018		S⁽¹⁾			5	⁽²⁾	08/17/2018	Class A Common Stock	500	$86	5	D
Call Option (right to buy)	$36	07/20/2018		P⁽¹⁾		5		⁽³⁾	08/17/2018	Class A Common Stock	500	$11	0	D
Call Option (obligation to sell)	$33	07/20/2018		S⁽¹⁾			5	⁽²⁾	10/19/2018	Class A Common Stock	500	$161	5	D
Call Option (right to buy)	$33	07/27/2018		P⁽¹⁾		30		⁽³⁾	08/17/2018	Class A Common Stock	3,000	$181	0	D
Call Option (obligation to sell)	$33	07/27/2018		S⁽¹⁾			30	⁽²⁾	09/21/2018	Class A Common Stock	3,000	$235	30	D
Call Option (right to buy)	$33	08/07/2018		P⁽¹⁾		30		⁽³⁾	09/21/2018	Class A Common Stock	3,000	$283	0	D
Call Option (obligation to sell)	$33	08/07/2018		S⁽¹⁾			30	⁽²⁾	10/19/2018	Class A Common Stock	3,000	$324	35	D
Put Option (obligation to buy)	$34	08/07/2018		S⁽¹⁾			3	⁽²⁾	09/21/2018	Class A Common Stock	300	$85	3	D
Put Option (right to sell)	$34	08/22/2018		P⁽¹⁾		3		⁽³⁾	09/21/2018	Class A Common Stock	300	$200	0	D
Put Option (obligation to buy)	$34	08/22/2018		S⁽¹⁾			3	⁽³⁾	10/19/2018	Class A Common Stock	300	$237	3	D
Call Option (right to buy)	$33	10/16/2018		P⁽¹⁾		3		⁽³⁾	10/19/2018	Class A Common Stock	300	$5	32	D
Call Option (right to buy)	$33	10/16/2018		P⁽¹⁾		32		⁽³⁾	10/19/2018	Class A Common Stock	3,200	$5	0	D
Put Option (right to sell)	$34	10/16/2018		P⁽¹⁾		3		⁽³⁾	10/19/2018	Class A Common Stock	300	$320	0	D
Put Option (obligation to buy)	$34	10/16/2018		S⁽¹⁾			3	⁽²⁾	11/16/2018	Class A Common Stock	300	$360	3	D
Put Option (right to sell)	$34	10/29/2018		P⁽¹⁾		3		⁽³⁾	11/16/2018	Class A Common Stock	300	$694	0	D
Put Option (obligation to buy)	$34	10/29/2018		S⁽¹⁾			1	⁽²⁾	01/18/2019	Class A Common Stock	100	$704	1	D
Put Option (obligation to buy)	$34	10/29/2018		S⁽¹⁾			2	⁽²⁾	01/18/2019	Class A Common Stock	200	$707	3	D
Put Option (obligation to buy)	$34	11/19/2018		X⁽¹⁾			1	10/29/2018	01/18/2019	Class A Common Stock	100	$0	2	D
Put Option (obligation to buy)	$34	11/28/2018		X⁽¹⁾			2	10/29/2018	01/18/2019	Class A Common Stock	200	$0	0	D
Call Option (obligation to sell)	$25	02/01/2019		S⁽¹⁾			10	⁽²⁾	03/15/2019	Class A Common Stock	1,000	$75	10	D
Call Option (right to buy)	$25	02/12/2019		P⁽¹⁾		10		⁽³⁾	03/15/2019	Class A Common Stock	1,000	$78	0	D

Explanation of Responses:

1. The reporting person's transactions reported herein are matchable under 16(b) of the Securities Exchange Act of 1934. The reporting person has agreed to pay to Issuer an aggregate amount of $28,549.62, representing the full amount of the profit realized in connection with the transactions reported herein, together with the transactions reported on the Form 4 filed concurrently with this Form 4 on this date, that reports transactions beginning on 7/28/2017. As of March 6, 2019, the reporting person is no longer employed by Issuer.

2. Exercisable by the holder at any time.

3. Exercisable by the reporting person at any time.

	/s/ Matthias Heilmann	03/08/2019
	** 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 4 (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).
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