SEC Form 4 · accession 0000892553-18-000025
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel F Thomas
Officer — Executive Chairman · Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 4:26 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 | F | 1,440 | $48.39 | D | 174,860 | D | |
| Common stock, par value $0.01 per shareF2,F3 | Jan 3, 2018 | F | 2,294 | $50.99 | D | 172,566 | D | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 28,275 | I | By spouse | |
| Common stock, par value $0.01 per shareF4,F5 | holding | — | — | — | 48,020 | I | By Trusts | |
| Common stock, par value $0.01 per shareF4,F6 | holding | — | — | — | 36,000 | I | By Trust | |
| Common stock, par value $0.01 per shareF4,F7 | holding | — | — | — | 54,000 | I | By Trust | |
| Common stock, par value $0.01 per shareF4,F8 | holding | — | — | — | 46,000 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person surrendered 1,440 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
- F2The reporting person surrendered 2,294 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
- F319,038 and 24,934 shares of the total amount beneficially owned were granted on January 3, 2017 and January 4, 2016, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction.
- F4No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
- F5Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose.
- F6Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
- F7Held by trust for the benefit of the reporting person's family members, including his spouse. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
- F8Held by trust for the benefit of the reporting person's family members, including the reporting person.