-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B2MI/OvIzaOuCsx+q3CNqWqc5CwTXPxnal6S/er2oZqAUL2vLFXHAC5Zg5snR2q5 tqJ6gfVj9ffMEad5XFJR6g== 0000728612-05-000034.txt : 20051019 0000728612-05-000034.hdr.sgml : 20051019 20051019183005 ACCESSION NUMBER: 0000728612-05-000034 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030915 FILED AS OF DATE: 20051019 DATE AS OF CHANGE: 20051019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHART INDUSTRIES INC CENTRAL INDEX KEY: 0000892553 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED PLATE WORK (BOILER SHOPS) [3443] IRS NUMBER: 341712937 STATE OF INCORPORATION: DE FISCAL YEAR END: 2002 BUSINESS ADDRESS: STREET 1: 5885 LANDERBROOK DRIVE STREET 2: SUITE 150 CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 BUSINESS PHONE: 4407531490 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11442 FILM NUMBER: 051145964 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 3 1 primary_doc.xml PRIMARY DOCUMENT X0202 3 2003-09-15 0 0000892553 CHART INDUSTRIES INC CIDI 0000728612 MERRILL LYNCH PIERCE FENNER & SMITH INC 4 WORLD FINANCIAL CENTER NORTH TOWER NEW YORK NY 10080 0 0 1 0 Common Stock 225588 D These shares of the Issuer's common stock, par value $0.01 per share ("Shares"), were acquired by Merrill Lynch, Pierce, Fenner & Smith Incorporated, a Delaware corporation ("MLPFS"), in connection with the Issuer's (and certain of its U.S. subsidiaries) emergence from Chapter 11 bankruptcy proceedings on September 15, 2003 (the "Consummation Date"). Pursuant to the Issuer's bankruptcy plan (the "Plan"), 4,271,419 Shares were issued to certain senior lenders of the Issuer prior to its bankruptcy, including MLPFS and its parent holding company, Merrill Lynch & Co., Inc. ("MLC," and, collectively with MLPFS, the "Reporting Persons"), as of the Consummation Date. Of this amount, 225,588 Shares were issued to MLPFS. As of the Consummation Date, the Issuer and certain significant holders of Shares, including the Reporting Persons (the "Stockholder Parties"), entered into the Investor Rights Agreement pursuant to the Plan. The Reporting Persons' ability to vote or dispose of the Shares is controlled by the terms of the Investor Rights Agreement. As a result of being a party to the Investor Rights Agreement, the Reporting Persons may be deemed to be a member of a "group," along with such other Stockholder Parties, pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Act"), that, combined, has beneficial ownership of more than 10% of the Issuer's outstanding Shares. The filing of this statement shall not be deemed an admission that any of the Reporting Persons are members of any such "group" or that any of the Reporting Persons is the beneficial owner of any Shares or other securities owned by any other person. The Reporting Persons disclaim beneficial ownership of the Shares subject to the Investor Rights Agreement except to the extent of their pecuniary interest therein. The filing of this statement shall not be deemed a determination that this filing is required under Section 16(a) of the Act. Jonathan N. Santelli, as Assistant Secretary of Merrill Lynch, Pierce, Fenner & Smith Incorporated and as Attorney-in-Fact 2005-10-19 EX-99 2 secondpoa.txt POWER OF ATTORNEY Power of Attorney The undersigned, Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Corporation"), a corporation duly organized under the laws of Delaware, with its principal place of business at World Financial Center, North Tower, 2560 Vesey Street, New York, New York 10281 does hereby make, constitute and appoint Richard B. Alsop, Richard D. Kreuder, Andrea Lowenthal, Gregory T. Russo, or any individual from time to time elected or appointed as secretary or an assistant secretary of the Corporation, acting severally, each of whose address is Merrill Lynch & Co., Inc., World Financial Center, North Tower, 250 Vesey Street, New York, New York 10281, as its true and lawful attorneys-in-fact, for it and in its name, place and stead (i) to execute on behalf of the Corporation and cause to be filed and/or delivered, as required under Section 13(d) of the Securities Exchange Act of 1934 (the "Act") and the regulations thereunder, any number, as appropriate, of original, copies, or electronic filings of the Securities and Exchange Commission Schedule 13D or Schedule 13G Beneficial Ownership Reports (together with any amendments and joint filing agreements under Rule 13d-1(f)(1) of the Act, as may be required thereto) to be filed and/or delivered with respect to any equity security (as defined in Rule 13d-1(d) under the Act) beneficially owned by the undersigned and which must be reported by the undersigned pursuant to Section 13(d) of the Act and the regulations thereunder, (ii) to execute on behalf of the Corporation and cause to be filed and/or delivered, any number, as appropriate, of original, copies or electronic filings of any forms (including without limitation), Securities and Exchange Commission Forms 3, 4 and 5) required to be filed pursuant to Section 16(a) of the Act and the regulations thereunder, and (iii) generally to take such other actions and perform such other things necessary to effectuate the foregoing as fully in all respects as if the undersigned could do if personally present. This Power of Attorney shall remain in effect until revoked, in writing, by the undersigned. IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney, this 25th day of November 1995. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED By: /s/ David H. Komansky ---------------------------------------------- Name: David H. Komansky Title: President and Chief Operating Officer -----END PRIVACY-ENHANCED MESSAGE-----