SEC Form 4 · accession 0001209191-16-135510
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Johnson
Officer — President & COO
Period of report
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 4:48 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 | Aug 2, 2016 | A | 19,110 | $0.00 | A | 19,110 | 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 | $28.93 | Aug 2, 2016 | A | 57,610 | A | — | Aug 2, 2026 | Common Stock | 57,610 | 57,610 | D |
Explanation of responses
- F1These restricted share units were granted on August 2, 2016 pursuant to 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 with respect to one-third (1/3) of the total number of shares on the first anniversary of the date of grant, and the remaining two-thirds (2/3) of the total number of shares will vest on the second anniversary of the date of grant, in each case subject to tax withholding requirements.
- F219,110 shares of the total amount beneficially owned were granted on August 2, 2016 pursuant to a restricted share unit agreement 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 August 2, 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 the first anniversary of the date of grant. The remaining three-fourths (3/4) of the total number of shares underlying the stock options will vest on the second anniversary of the date of grant.