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