GE 10-Q Quarterly Report Sept. 30, 2021

GENERAL ELECTRIC CO

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TABLE OF CONTENTS

Part I Financial Information Item 1. Financial Statements28-55 Item 2. Management S Discussion and Analysis Of Financial Condition and Results Of Operations4-27 Item 3. Quantitative and Qualitative Disclosures About Market Risk17-18, 50-52 Item 4. Controls and Procedures27 Part II Other Information Item 1. Legal Proceedings53-54 Item 1A. Risk Factorsnot Applicable(a)Item 2. Unregistered Sales Of Equity Securities and Use Of Proceeds27 Item 3. Defaults Upon Senior Securitiesnot Applicable Item 4. Mine Safety Disclosuresnot Applicable Item 5. Other Informationnot Applicable Item 6. Exhibits56

Exhibits

Exhibit 3.The Restated Certificate of Incorporation of General Electric Company(Incorporated by reference to Exhibit 3(i) to GEs Annual Report on Form 10-K for the fiscal year ended December 31, 2013), as amended by the Certificate of Amendment, dated December 2, 2015(Incorporated by reference to Exhibit 3.1 to GEs Current Report on Form 8-K, dated December 3, 2015), as further amended by the Certificate of Amendment, dated January 19, 2016 (Incorporated by reference to Exhibit 3.1 to GEs Current Report on Form 8-K, dated January 20, 2016), as further amended by the Certificate of Change of General Electric Company (Incorporated by reference to Exhibit 3(1) to GEs Current Report on Form 8-K, dated September 1, 2016), as further amended by the Certificate of Amendment, dated May 13, 2019 (Incorporated by reference to Exhibit 3.1 to GEs Current Report on Form 8-K, dated May 13, 2019), as further amended by the Certificate of Change of General Electric Company (Incorporated by reference to Exhibit 3.1 to GEs Current Report on Form 8-K, dated December 9, 2019), as further amended by the Certificate of Amendment, dated July 30, 2021 (Incorporated by reference to Exhibit 3.1 to GE's Current Report on Form 8-K, dated July 30, 2021) (in each case, under Commission file number 001-00035). Exhibit 10(a).GE2007Long-Term Incentive Plan(as amended and restated April 26, 2017, as further amended and restated February 15, 2019,and as furtheramended andrestated July 30, 2021). Exhibit 10(b).Form of Agreement for Performance Stock UnitGrants to Executive Officers in 2021 under the GE 2007 Long-Term Incentive Plan, as amended July 30, 2021. Exhibit 10(c).Notice of Adjustment to the Performance Share Grant Agreement for H. Lawrence Culp, Jr., effective July 30, 2021. Exhibit 10(d).Notice of Adjustment to the Performance Stock Unit Grant Agreement for Carolina Dybeck Happe, effective July 30, 2021. Exhibit 31(a).Certification Pursuant to Rules 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as Amended. Exhibit 31(b).Certification Pursuant to Rules 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as Amended. Exhibit 32.Certification Pursuant to 18 U.S.C. Section 1350.

Customer name	Ticker
Alaska Air Group, Inc.	ALK
Hess Corporation	HES
Ameren Corporation	AEE
American Electric Power Company, Inc.	AEP
CMS Energy Corporation	CMS
Crane Co.	CR
CSX Corporation	CSX
Delta Air Lines, Inc.	DAL
Dominion Energy, Inc.	D
DTE Energy Company	DTE
Duke Energy Corporation	DUK
Edison International	EIX
Entergy Corporation	ETR
Exelon Corporation	EXC
Exxon Mobil Corporation	XOM
FirstEnergy Corp.	FE
Ford Motor Company	F
Aerojet Rocketdyne Holdings, Inc.	AJRD
General Dynamics Corporation	GD
General Motors Company	GM
Granite Construction Incorporated	GVA
Harley-Davidson, Inc.	HOG
The Hershey Company	HSY
Hubbell Incorporated	HUBB
Illinois Tool Works Inc.	ITW
International Paper Company	IP
Lockheed Martin Corporation	LMT
ManpowerGroup Inc.	MAN
Marathon Oil Corporation	MRO
MasTec, Inc.	MTZ
MDU Resources Group, Inc.	MDU
MGIC Investment Corporation	MTG
Murphy Oil Corporation	MUR
NiSource Inc.	NI
Norfolk Southern Corporation	NSC
Northrop Grumman Corporation	NOC
Occidental Petroleum Corporation	OXY
ONEOK, Inc.	OKE
Oshkosh Corporation	OSK
Packaging Corporation of America	PKG
Phillips 66	PSX
Polaris Inc.	PII
PPL Corporation	PPL
PROGRESS ENERGY INC	PREX
Public Service Enterprise Group Incorporated	PEG
Quanta Services, Inc.	PWR
Raytheon Technologies Corporation	RTX
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Sempra Energy	SRE
The Southern Company	SO
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First Trust S&P REIT Index Fund	FRI
Textron Inc.	TXT
United Airlines Holdings, Inc.	UAL
Union Pacific Corporation	UNP
Raytheon Technologies Corporation	RTX
WEC Energy Group, Inc.	WEC
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Supplier name	Ticker
The Boeing Company	BA
Chevron Corporation	CVX
3M Company	MMM
Exxon Mobil Corporation	XOM
Thermo Fisher Scientific Inc.	TMO
Danaher Corporation	DHR
Caterpillar Inc.	CAT
Air Products and Chemicals, Inc.	APD

GE 10-Q Quarter ended Sept. 30, 2021

Exhibits