SEC Form 4 · accession 0001209191-17-012109
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel F Thomas
Officer — Chairman and CEO · Director
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 4:29 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 | Feb 15, 2017 | A | 14,277 | $0.00 | A | 145,040 | D | |
| Common Stock, par value $0.01 per shareF3,F2 | Feb 15, 2017 | F | 5,990 | $39.78 | D | 139,050 | D | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 28,275 | I | By spouse | |
| Common Stock, par value $0.01 per shareF4,F5 | holding | — | — | — | 48,020 | I | By Trusts | |
| Common Stock, par value $0.01 per shareF4,F6 | holding | — | — | — | 36,000 | I | By Trust | |
| Common Stock, par value $0.01 per shareF4,F7 | holding | — | — | — | 54,000 | I | By Trust | |
| Common Stock, par value $0.01 per shareF4,F8 | holding | — | — | — | 46,000 | I | By Trust |
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)F4,F9 | $27.74 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 18,300 | 18,300 | D |
| Stock Option (Right to Buy)F4,F10 | $30.95 | holding | — | — | — | — | Jan 2, 2018 | Common Stock | 18,950 | 18,950 | D |
| Stock Option (Right to Buy)F4,F11 | $11.00 | holding | — | — | — | — | Jan 2, 2019 | Common stock | 50,000 | 50,000 | D |
| Stock Option (Right to Buy)F4,F12 | $17.03 | holding | — | — | — | — | Jan 4, 2020 | Common Stock | 47,170 | 47,170 | D |
| Stock Option (Right to Buy)F4,F13 | $36.45 | holding | — | — | — | — | Jan 3, 2021 | Common Stock | 33,070 | 33,070 | D |
| Stock Option (Right to Buy)F4,F14 | $55.93 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 21,410 | 21,410 | D |
| Stock Option (Right to Buy)F4,F15 | $68.21 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 19,470 | 19,470 | D |
| Stock Option (Right to Buy)F4,F16 | $93.34 | holding | — | — | — | — | Jan 2, 2024 | Common Stock | 17,880 | 17,880 | D |
| Stock Option (Right to Buy)F4,F17 | $34.27 | holding | — | — | — | — | Jan 2, 2025 | Common Stock | 58,630 | 58,630 | D |
| Stock Option (Right to Buy)F4,F18 | $17.72 | holding | — | — | — | — | Jan 4, 2026 | Common Stock | 125,240 | 125,240 | D |
| Stock Option (Right to Buy)F19 | $36.93 | holding | — | — | — | — | Jan 3, 2027 | Common Stock | 89,220 | 89,220 | D |
Explanation of responses
- F1Represents performance units granted on January 2, 2014, under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, that have vested and are paid out in shares of common stock.
- F10These options were granted on January 2, 2008 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive 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 2, 2009 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive 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.
- F12These options were granted on January 4, 2010 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.
- F13These options were granted on January 3, 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.
- F14These 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.
- F15These 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.
- F16These 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.
- F17These 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.
- F18These 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.
- F19These 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.
- F228,904, 24,934, and 5,756 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.
- F3The reporting person surrendered 5,990 shares upon the vesting of performance units, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
- F4No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
- F5Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose.
- F6Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
- F7Held by trust for the benefit of the reporting person's family members, including his spouse. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
- F8Held by trust for the benefit of the reporting person's family members, including the reporting person.
- F9These options were granted on August 2, 2007 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive 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.