SEC Form 4 · accession 0001209191-17-002360
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 4, 2017
Accepted (ET)
Jan 5, 2017 · 6:36 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 4, 2017 | F | 292 | $38.14 | D | 4,483 | 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,F4 | $25.13 | holding | — | — | — | — | May 3, 2026 | Common Stock | 6,050 | 6,050 | D |
| Stock Option (Right to Buy)F3,F5,F6 | $36.93 | holding | — | — | — | — | Jan 3, 2027 | Common Stock | 3,680 | 3,680 | D |
Explanation of responses
- F1The reporting person surrendered 292 shares upon the vesting of 753 restricted share units, which is one-third (1/3) of the reporting person's January 4, 2016 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
- F21,100, 1,507 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.
- F3No transaction is being reported on this line. Reported on a previously filed Form 4.
- F4These 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.
- 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.
- F6Amount adjusted to account for an administrative error in the previously filed Form 4, which resulted in the over-reporting of the reporting person's January 3, 2017 stock option award by 180 shares.