SEC Form 4 · accession 0001209191-17-001632
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H Wolfe
Officer — V.P., General Counsel and Sec.
Period of report
Jan 2, 2017
Accepted (ET)
Jan 4, 2017 · 9:09 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 2, 2017 | F | 35 | $36.02 | D | 4,392 | D | |
| Common Stock, par value $0.01 per shareF3,F4 | Jan 2, 2017 | F | 43 | $36.02 | D | 4,349 | 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,F6 | $45.46 | holding | — | — | — | — | May 25, 2021 | Common Stock | 1,125 | 1,125 | D |
| Stock Option (Right to Buy)F5,F7 | $55.93 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 840 | 840 | D |
| Stock Option (Right to Buy)F5,F8 | $68.21 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 893 | 893 | D |
| Stock Option (Right to Buy)F5,F9 | $93.34 | holding | — | — | — | — | Jan 2, 2024 | Common Stock | 900 | 900 | D |
| Stock Option (Right to Buy)F5,F10 | $34.27 | holding | — | — | — | — | Jan 2, 2025 | Common Stock | 2,070 | 2,070 | D |
| Stock Option (Right to Buy)F5,F11 | $17.72 | holding | — | — | — | — | Jan 4, 2026 | Common Stock | 4,510 | 4,510 | D |
Explanation of responses
- F1Upon the vesting of the final one-third (1/3) of the reporting person's January 2, 2014 restricted stock award, the reporting person surrendered 35 shares of that restricted stock award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
- F10These 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.
- F11These 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.
- F21,376 and 447 shares of the total amount beneficially owned were granted on 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.
- F3The reporting person surrendered 43 shares upon the vesting of 171 restricted share units, which is one-third (1/3) of the reporting person's January 2, 2015 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
- F41,376 and 276 shares of the total amount beneficially owned were granted on 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.
- F5No transaction is being reported on this line.
- F6These options were granted on May 25, 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.
- F7These 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.
- F8These 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.
- F9These 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.