-----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, Az1eVrGH40cPIBciWzVnGGD5zLd3IR6mJwsBFl4YOpHb7AAkZ+5CMRC7TF3pK48k 6EhA1A4mhHzcxmsxVXr2lA== 0001104659-04-029752.txt : 20041005 0001104659-04-029752.hdr.sgml : 20041005 20041005172457 ACCESSION NUMBER: 0001104659-04-029752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041001 FILED AS OF DATE: 20041005 DATE AS OF CHANGE: 20041005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPLAN STEPHEN A CENTRAL INDEX KEY: 0001142409 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11442 FILM NUMBER: 041066809 BUSINESS ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT LLC STREET 2: 333 SOUTH GRAND AVE. 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 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 4 1 a4.xml 4 X0202 4 2004-10-01 0 0000892553 CHART INDUSTRIES INC CIDI 0001142409 KAPLAN STEPHEN A 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 Common stock 2004-10-01 4 P 0 0 38 A 0 I See footnote OCM Principal Opportunities Fund II, L.P. ("OCM Fund") is the direct beneficial owner of 2,463,638 shares of Common Stock, 366,368 shares of which were acquired on October 1, 2004. Oaktree Capital Management, LLC ("Oaktree") is the general partner of the OCM Fund. Oaktree receives a management fee for managing the assets of the OCM Fund and has a carried interest in the OCM Fund. The Reporting Person, Stephen A. Kaplan, is a principal and member of Oaktree and a portfolio manager of the OCM Fund, and therefore Mr. Kaplan may be deemed to be a beneficial owner of the shares owned by the OCM Fund. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. The filing of this form shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 or otherwise, the beneficial owner of such shares. Stephen A. Kaplan 2004-10-05 -----END PRIVACY-ENHANCED MESSAGE-----