filings.toolsGeneral Electric 10-Q 2021-09-30
Filed 2021-10-26. 8 sections, 365K characters. Original on sec.gov · Markdown · JSON
Cover and table of contents
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549
FORM 10-Q
(Mark One)
☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2021
OR
☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ____ to ____
Commission file number 001-00035
GENERAL ELECTRIC COMPANY
(Exact name of registrant as specified in its charter)
| New York | 14-0689340 | |||||||||||||
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |||||||||||||
| 5 Necco Street | Boston | MA | 02210 | |||||||||||
| (Address of principal executive offices) | (Zip Code) |
(Registrant’s telephone number, including area code) (617) 443-3000
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||||||
| Common stock, par value $0.01 per share | GE | New York Stock Exchange | ||||||
| 0.375% Notes due 2022 | GE 22A | New York Stock Exchange | ||||||
| 1.250% Notes due 2023 | GE 23E | New York Stock Exchange | ||||||
| 0.875% Notes due 2025 | GE 25 | New York Stock Exchange | ||||||
| 1.875% Notes due 2027 | GE 27E | New York Stock Exchange | ||||||
| 1.500% Notes due 2029 | GE 29 | New York Stock Exchange | ||||||
| 7 1/2% Guaranteed Subordinated Notes due 2035 | GE /35 | New York Stock Exchange | ||||||
| 2.125% Notes due 2037 | GE 37 | New York Stock Exchange |
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes þ No ¨
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes þ No ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and "emerging growth company" in Rule 12b-2 of the Exchange Act. (Check one):
| Large accelerated filer | ☑ | Accelerated filer | ☐ | ||||||||
| Non-accelerated filer | ☐ | Smaller reporting company | ☐ | ||||||||
| Emerging growth company | ☐ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☑
There were 1,098,137,128 shares of common stock with a par value of $0.01 per share outstanding at September 30, 2021.
TABLE OF CONTENTS
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Item 1. Financial Statements 28-55
Item 2. Management’s Discussion and Analysis of Financial Condition and Results of Operations 4-27
Item 3. Quantitative and Qualitative Disclosures About Market Risk 17-18, 50-52
Item 4. Controls and Procedures 27
| Part II – OTHER INFORMATION | | | | | | | | | | | | | | | Item 1. Legal Proceedings 53-54
Item 1A. Risk Factors Not applicable(a)
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds 27 Item 3. Defaults Upon Senior Securities Not applicable Item 4. Mine Safety Disclosures Not applicable
Item 5. Other Information Not applicable
Item 6. Exhibits 56
| Signatures | | | | | | | | | | | | 56 | | |
(a) There have been no material changes to our risk factors since March 31, 2021. For a discussion of our risk factors, refer to our Annual Report on Form 10-K for the year ended December 31, 2020, and our Quarterly Report on Form 10-Q for the quarter ended March 31, 2021.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| October 26, 2021 | /s/ Thomas S. Timko | |||||||
| Date | Thomas S. Timko Vice President, Chief Accounting Officer and Controller Principal Accounting Officer |
2021 3Q FORM 10-Q 56