SEC Form 4 · accession 0001209191-17-012115
CHART INDUSTRIES INC · GTLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Webster
Officer — Vice President and CFO
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 4:30 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 | 959 | $0.00 | A | 20,150 | D | |
| Common Stock, par value $0.01 per shareF3,F2 | Feb 15, 2017 | F | 317 | $39.78 | D | 19,833 | 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)F4,F5 | $17.03 | holding | — | — | — | — | Jan 4, 2020 | Common Stock | 965 | 965 | D |
| Stock Option (Right to Buy)F4,F6 | $36.45 | holding | — | — | — | — | Jan 3, 2021 | Common Stock | 2,590 | 2,590 | D |
| Stock Option (Right to Buy)F4,F7 | $55.93 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 1,520 | 1,520 | D |
| Stock Option (Right to Buy)F4,F8 | $68.21 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 1,310 | 1,310 | D |
| Stock Option (Right to Buy)F4,F9 | $93.34 | holding | — | — | — | — | Jan 2, 2024 | Common Stock | 1,200 | 1,200 | D |
| Stock Option (Right to Buy)F4,F10 | $34.27 | holding | — | — | — | — | Jan 2, 2025 | Common Stock | 3,950 | 3,950 | D |
| Stock Option (Right to Buy)F4,F11 | $17.72 | holding | — | — | — | — | Jan 4, 2026 | Common Stock | 8,690 | 8,690 | D |
| Stock Option (Right to Buy)F4,F12 | $36.93 | holding | — | — | — | — | Jan 3, 2027 | Common Stock | 12,900 | 12,900 | 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, 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.
- F12These 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.
- F23,850, 3,900, 1,727 and 387 and shares of the total amount beneficially owned were granted on January 3, 2017, April 15, 2016, 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 317 shares upon 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.
- F5These 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.
- F6These 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.
- 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.