0001209191-11-054245.txt : 20111103 0001209191-11-054245.hdr.sgml : 20111103 20111103181902 ACCESSION NUMBER: 0001209191-11-054245 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111101 FILED AS OF DATE: 20111103 DATE AS OF CHANGE: 20111103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Klaben Matthew J CENTRAL INDEX KEY: 0001369000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11442 FILM NUMBER: 111178838 MAIL ADDRESS: STREET 1: ONE INFINITY CORPORATE CENTRE DRIVE STREET 2: SUITE 300 CITY: GARFIELD HEIGHTS STATE: OH ZIP: 44125 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 X0304 4 2011-11-01 0 0000892553 CHART INDUSTRIES INC GTLS 0001369000 Klaben Matthew J ONE INFINITY CORPORATE CENTRE DRIVE GARFIELD HEIGHTS OH 44125 0 1 0 0 VP, General Counsel and Sec. Common Stock, par value $0.01 per share 2011-11-01 4 M 0 30000 12.16 A 50848 D Common Stock, par value $0.01 per share 2011-11-01 4 S 0 30000 54.14 D 20848 D Common Stock, par value $0.01 per share 2011-11-03 4 M 0 10000 12.16 A 30848 D Common Stock, par value $0.01 per share 2011-11-03 4 S 0 10000 57.50 D 20848 D Stock Option (Right to Buy) 12.16 2011-11-01 4 M 0 28082 0.00 D 2007-06-12 2016-03-29 Common Stock 28082 0 D Stock Option (Right to Buy) 12.16 2011-11-01 4 M 0 1918 0.00 D 2016-03-29 Common Stock 1918 32439 D Stock Option (Right to Buy) 12.16 2011-11-03 4 M 0 10000 0.00 D 2016-03-29 Common Stock 10000 22439 D Stock Option (Right to Buy) 27.74 2017-08-02 Common Stock 2900 2900 D Stock Option (Right to Buy) 30.95 2018-01-02 Common Stock 3020 3020 D Stock Option (Right to Buy) 11.00 2019-01-02 Common stock 5210 5210 D Stock Option (Right to Buy) 17.03 2020-01-04 Common Stock 5730 5730 D Stock Option (Right to Buy) 36.45 2021-01-03 Common Stock 3560 3560 D These securities were acquired pursuant to a prearranged trading plan adopted on September 1, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934. 3,227 and 1,390 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 September 1, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934. Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $53.25 - $55.00. 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. These options were exercised pursuant to a prearranged trading plan adopted on September 1, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934. These options were granted on March 29, 2006 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 March 29, 2006 pursuant to the terms of the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest annually from the date of grant in equal installments over five years based on continued service. No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5. 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 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 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/ Matthew J. Klaben 2011-11-03