SEC Form 4 · accession 0001209191-16-117508
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Webster
Officer — Vice President and CFO
Period of report
May 3, 2016
Accepted (ET)
May 4, 2016 · 6:13 pm EDT
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 | holding | — | — | — | 15,618 | 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)F11 | $25.13 | May 3, 2016 | A | 12,770 | A | — | May 3, 2026 | Common Stock | 12,770 | 12,770 | D |
| Stock Option (Right to Buy)F1,F3 | $17.03 | holding | — | — | — | — | Jan 4, 2020 | Common Stock | 965 | 965 | D |
| Stock Option (Right to Buy)F1,F4 | $36.45 | holding | — | — | — | — | Jan 3, 2021 | Common Stock | 2,590 | 2,590 | D |
| Stock Option (Right to Buy)F1,F5 | $55.93 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 1,520 | 1,520 | D |
| Stock Option (Right to Buy)F1,F6 | $68.21 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 1,310 | 1,310 | D |
| Stock Option (Right to Buy)F1,F7 | $93.34 | holding | — | — | — | — | Jan 2, 2024 | Common Stock | 1,200 | 1,200 | D |
| Restricted Stock UnitF1,F8 | $0.00 | holding | — | — | — | — | Jan 2, 2017 | Common Stock | 650 | 650 | D |
| Stock Option (Right to Buy)F1,F9 | $34.27 | holding | — | — | — | — | Jan 2, 2025 | Common Stock | 3,950 | 3,950 | D |
| Stock Option (Right to Buy)F1,F10 | $17.72 | holding | — | — | — | — | Jan 4, 2026 | Common Stock | 8,690 | 8,690 | D |
Explanation of responses
- F1No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
- F10These options were granted on January 4, 2016 pursuant to the Chart Industries, Inc. Amended and Restated 2009 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.
- F11These options were granted on May 3, 2016 pursuant to the Chart Industries, Inc. Amended and Restated 2009 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.
- F23,900, 2,590 and 774 shares of the total amount beneficially owned were granted on April 15, 2016, January 4, 2016 and January 2, 2015, 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.
- F3These options were granted on January 4, 2010 pursuant to the Chart Industries, Inc. 2009 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.
- F4These options were granted on January 3, 2011 pursuant to the Chart Industries, Inc. 2009 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.
- F5These options were granted on January 3, 2012 pursuant to the Chart Industries, Inc. 2009 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.
- F6These options were granted on January 2, 2013 pursuant to the Chart Industries, Inc. Amended and Restated 2009 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.
- F7These options were granted on January 2, 2014 pursuant to the Chart Industries, Inc. Amended and Restated 2009 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.
- F8These LRSUs were granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. Shares of Company common stock will be issued following the vesting of the LRSUs on the third anniversary of the date of grant. The minimum number of shares of Company common stock that will be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that will be issued at payment is 150% of the grant amount of LRSUs.
- F9These options were granted on January 2, 2015 pursuant to the Chart Industries, Inc. Amended and Restated 2009 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.