0001209191-11-025427.txt : 20110502
0001209191-11-025427.hdr.sgml : 20110502
20110502181258
ACCESSION NUMBER: 0001209191-11-025427
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110502
FILED AS OF DATE: 20110502
DATE AS OF CHANGE: 20110502
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: THOMAS SAMUEL F
CENTRAL INDEX KEY: 0001266362
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11442
FILM NUMBER: 11802336
MAIL ADDRESS:
STREET 1: 5885 LANDERBROOK DRIVE
STREET 2: STE 205
CITY: MEDINE
STATE: OH
ZIP: 44124
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: 1231
BUSINESS ADDRESS:
STREET 1: ONE INFINITY CORPORATE CENTRE DRIVE
STREET 2: SUITE 300
CITY: GARFIELD HEIGHTS
STATE: OH
ZIP: 44125-5370
BUSINESS PHONE: 4407531490
MAIL ADDRESS:
STREET 1: ONE INFINITY CORPORATE CENTRE DRIVE
STREET 2: SUITE 300
CITY: GARFIELD HEIGHTS
STATE: OH
ZIP: 44125-5370
4
1
doc4.xml
FORM 4 SUBMISSION
X0303
4
2011-05-02
0
0000892553
CHART INDUSTRIES INC
GTLS
0001266362
THOMAS SAMUEL F
ONE INFINITY CORPORATE CENTRE DRIVE
GARFIELD HEIGHTS
OH
44125
1
1
0
0
Chairman, CEO and President
Common Stock, par value $0.01 per share
2011-05-02
4
M
0
36000
6.50
A
191191
D
Common Stock, par value $0.01 per share
2011-05-02
4
S
0
36000
47.42
D
155191
D
Common Stock, par value $0.01 per share
11245
I
By Trust
Common Stock, par value $0.01 per share
130000
I
By spouse
Stock Option (Right to Buy)
6.50
2011-05-02
4
M
0
36000
0.00
D
2007-06-12
2015-11-23
Common Stock
36000
294264
D
Stock Option (Right to Buy)
27.74
2017-08-02
Common Stock
18300
18300
D
Stock Option (Right to Buy)
30.95
2018-01-02
Common Stock
18950
18950
D
Stock Option (Right to Buy)
11.00
2019-01-02
Common stock
50000
50000
D
Stock Option (Right to Buy)
17.03
2020-01-04
Common Stock
47170
47170
D
Stock Option (Right to Buy)
36.45
2021-01-03
Common Stock
33070
33070
D
These securities were acquired pursuant to a prearranged trading plan adopted on March 10, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities and Exchange Act of 1934.
28,947 and 12,990 shares of the total amount beneficially owned were granted on February 22, 2010 and January 3, 2011, respectively, pursuant to restricted stock award agreements under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. The restricted stock awards vest in equal installments on each of the first three anniversaries of the date of grant.
These securities were sold pursuant to a prearranged trading plan adopted on March 10, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities and Exchange Act of 1934.
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $46.64 - $48.60. The reporting person hereby undertakes, upon request by the Commission staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
Held by trust for the benefit of the reporting person's daughter. 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.
These options were exercised pursuant to a prearranged trading plan adopted on March 10, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities and Exchange Act of 1934.
These options were granted on November 23, 2005 as performance options under the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3 and became fully vested on June 12, 2007.
These 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.
These 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.
These 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.
These 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.
These 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.
/s/ Samuel F. Thomas, by Matthew J. Klaben, his attorney-in-fact pursuant to Power of Attorney dated June 29, 2006 on file with the Commission
2011-05-02