SEC Form 4 · accession 0001209191-17-001630
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
Jan 3, 2017
Accepted (ET)
Jan 4, 2017 · 9:07 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 3, 2017 | A | 12,480 | $0.00 | A | 31,590 | 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)F5 | $36.93 | Jan 3, 2017 | A | 41,820 | A | — | Jan 3, 2027 | Common Stock | 41,820 | 41,820 | D |
| Stock Option (Right to Buy)F3,F4 | $28.93 | holding | — | — | — | — | Aug 2, 2026 | Common Stock | 57,610 | 57,610 | D |
Explanation of responses
- F1These restricted share units were granted on January 3, 2017 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 each of the first three anniversaries of the date of grant, subject to tax withholding requirements.
- F212,480 and 19,110 shares of the total amount beneficially owned were granted on January 3, 2017 and August 2, 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.
- F3No transaction is being reported on this line. Reported on a previously filed Form 4.
- F4These 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.
- F5These options were granted on January 3, 2017 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.