SEC Form 4 · accession 0000892553-19-000011
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, 2019
Accepted (ET)
Jan 4, 2019 · 10:37 am 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, 2019 | A | 1,590 | $0.00 | A | 7,370 | D | |
| Common stock, par value $0.01 per shareF2 | Jan 2, 2019 | F | 253 | $65.95 | D | 7,117 | D | |
| Common stock, par value $0.01 per shareF3 | Jan 3, 2019 | F | 412 | $63.64 | D | 6,705 | 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 | $65.95 | Jan 2, 2019 | A | 3,350 | A | — | Jan 2, 2029 | Common Stock | 3,350 | 3,350 | D |
Explanation of responses
- F1These restricted share units were granted on January 2, 2019 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 253 shares to satisfy tax withholding liabilities in an exempt transaction under Rule 16b-3.
- F3The reporting person surrendered 412 shares to satisfy tax withholding liabilities in an exempt transaction under Rule 16b-3.
- F4These options were granted on January 2, 2019 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.