SEC Form 4 · accession 0000892553-18-000029
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 5, 2018
Accepted (ET)
Jan 9, 2018 · 4:33 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,F2 | Jan 5, 2018 | F | 4,235 | $52.73 | D | 168,331 | D | |
| Common stock, par value $0.01 per share | holding | — | — | — | 28,275 | I | By spouse | |
| Common stock, par value $0.01 per shareF3 | holding | — | — | — | 48,020 | I | By Trusts | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 36,000 | I | By Trust | |
| Common stock, par value $0.01 per shareF5 | holding | — | — | — | 54,000 | I | By Trust | |
| Common stock, par value $0.01 per shareF6 | holding | — | — | — | 46,000 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person surrendered 4,235 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
- F219,038 and 12,467 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.
- F3Held 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.
- F4Held 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.
- F5Held 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.
- F6Held by trust for the benefit of the reporting person's family members, including the reporting person.