SEC Form 4 · accession 0001209191-16-117525
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary C. Cook
Officer — CAO and Controller
Period of report
May 3, 2016
Accepted (ET)
May 4, 2016 · 6:20 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 | — | — | — | 4,360 | 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)F3 | $25.13 | May 3, 2016 | A | 6,050 | A | — | May 3, 2026 | Common Stock | 6,050 | 6,050 | D |
Explanation of responses
- F1No transaction is being reported on this line.
- F22,260, 674 and 151 shares of the total amount beneficially owned were granted on January 4, 2016, January 2, 2015 and January 2, 2014, respectively, pursuant to restricted share unit and restricted stock award 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 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.