SEC Form 4 · accession 0000892553-18-000021
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald F Vinci
Officer — VP & Chief Human Resources Ofc
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 3:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000892553
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.01 per shareF1 | Jan 2, 2018 | A | 2,130 | $0.00 | A | 6,320 | D | |
| Common stock, par value $0.01 per shareF2,F3 | Jan 3, 2018 | F | 540 | $50.99 | D | 5,780 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $48.39 | Jan 2, 2018 | A | 7,130 | A | — | Jan 2, 2028 | Common Stock | 7,130 | 7,130 | D |
Explanation of responses
- F1These restricted share units were granted on January 2, 2018 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. Shares of Company common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the first three anniversaries of the date of grant, subject to tax withholding requirements.
- F2The reporting person surrendered 540 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3
- F32,130 and 2,794 shares of the total amount beneficially owned were granted on January 2, 2018 and January 3, 2017, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. 2017 Omnibus Equity Plan and the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, respectively, in an exempt transaction under Rule 16b-3 and remain subject to restriction.
- F4These options were granted on January 2, 2018 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant.