SEC Form 4 · accession 0001209191-17-001633
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
Jan 2, 2017
Accepted (ET)
Jan 4, 2017 · 9:10 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,F3 | Jan 2, 2017 | F | 59 | $36.02 | D | 3,806 | D | |
| Common stock, par value $0.01 per shareF4,F5 | Jan 2, 2017 | F | 131 | $36.02 | D | 3,675 | D | |
| Common stock, par value $0.01 per shareF6,F7 | Jan 3, 2017 | A | 1,100 | $0.00 | A | 4,775 | 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)F10 | $36.93 | Jan 3, 2017 | A | 3,860 | A | — | Jan 3, 2027 | Common Stock | 3,860 | 3,860 | D |
| Stock Option (Right to Buy)F8,F9 | $25.13 | holding | — | — | — | — | May 3, 2026 | Common Stock | 6,050 | 6,050 | 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 59 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 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.
- F22,260 and 674 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.
- F3Total reflects an amount adjusted to account for an administrative error that resulted in the over-reporting of 495 shares of the reporting person's initial beneficial ownership.
- F4The reporting person surrendered 131 shares upon the vesting of 337 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.
- F52,260 and 337 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.
- F6These 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.
- F71,100, 2,260 and 337 shares of the total amount beneficially owned were granted on January 3, 2017, 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.
- F8No transaction is being reported on this line.
- F9These 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.